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CFTC Commitments Of Traders Reports Update

Date 06/02/2015

The current reports for the week of February 3, 2015 are now available.

Alberta Securities Commission Alleges Poseidon Executives Overstated The Company’s Revenue

Date 06/02/2015

Alberta Securities Commission (ASC) staff  have issued a Notice of Hearing alleging that Poseidon Concepts Corp., Lyle Dennis Michaluk, Matthew Cory MacKenzie, Clifford Leroy Wiebe and Joseph Anton Kostelecky breached Alberta securities laws by filing financial statements that overstated Poseidon’s revenue and accounts receivable.  In doing so, ASC staff also allege they acted contrary to the public interest.

TMX Group Equity Financing Statistics – January 2015

Date 06/02/2015

TMX Group yesterday announced its financing activity on Toronto Stock Exchange and TSX Venture Exchange for January 2015.

TOM MTF Statistics Week 6, 2015

Date 06/02/2015

Click here to download the weekly statistics update of TOM MTF for week 6, 2015. 

CBOE Holdings Reports Record-Setting 2014 Fourth-Quarter and Full-Year Results

Date 06/02/2015

Fourth-Quarter 2014 Financial Highlights

• Operating Revenue Increased 17 Percent to $166.5 Million 
• GAAP Net Income Allocated to Common Stockholders Up 8 Percent to $49.1 Million; Diluted EPS Up 12 Percent to $0.58 
• Adjusted Net Income Allocated to Common Stockholders Up 18 Percent to $53.6 Million; Adjusted Diluted EPS Up 23 Percent to $0.641
• GAAP Operating Margin of 52.2 Percent; Adjusted Operating Margin of 53.4 Percent, Up 220 Basis Points1

Full-Year 2014 Financial Highlights

• Operating Revenue Increased 8 Percent to $617.2 Million 
• GAAP Net Income Allocated to Common Stockholders Increased 8 Percent to $188.4 Million; Diluted EPS Up 11 Percent to $2.21 
• Adjusted Net Income Allocated to Common Stockholders Increased 10 Percent to $194.5 Million; Adjusted Diluted EPS Up 12 Percent to $2.281
• GAAP Operating Margin of 50.8 Percent; Adjusted Operating Margin of 51.6 Percent, Up 80 Basis Points

CBOE Holdings Reports Record-Setting 2014 Fourth-Quarter and Full-Year Results

Date 06/02/2015

Fourth-Quarter 2014 Financial Highlights

• Operating Revenue Increased 17 Percent to $166.5 Million 
• GAAP Net Income Allocated to Common Stockholders Up 8 Percent to $49.1 Million; Diluted EPS Up 12 Percent to $0.58 
• Adjusted Net Income Allocated to Common Stockholders Up 18 Percent to $53.6 Million; Adjusted Diluted EPS Up 23 Percent to $0.641
• GAAP Operating Margin of 52.2 Percent; Adjusted Operating Margin of 53.4 Percent, Up 220 Basis Points1

Full-Year 2014 Financial Highlights

• Operating Revenue Increased 8 Percent to $617.2 Million 
• GAAP Net Income Allocated to Common Stockholders Increased 8 Percent to $188.4 Million; Diluted EPS Up 11 Percent to $2.21 
• Adjusted Net Income Allocated to Common Stockholders Increased 10 Percent to $194.5 Million; Adjusted Diluted EPS Up 12 Percent to $2.281
• GAAP Operating Margin of 50.8 Percent; Adjusted Operating Margin of 51.6 Percent, Up 80 Basis Points

Address By CFTC Commissioner J. Christopher Giancarlo Before The ABA Business Law Section, Derivatives & Futures Law Committee Winter Meeting - A Pro-Reform Reconsideration Of The CFTC Swaps Trading Rules

Date 06/02/2015

Introduction

Thank you for the kind introduction.

Let me begin with the disclaimer that my remarks today reflect my own views and do not necessarily reflect the views of the Commodity Futures Trading Commission (CFTC or Commission), my fellow Commissioners or the CFTC staff.

It is an honor to speak to you today. I see so many truly distinguished members of the derivatives bar. This is an impressive gathering.

For those of you who don’t know, I play the banjo. Do you know why playing the banjo is a lot like throwing a javelin blindfolded? It is because you don't have to be very good to get people's attention. That probably also applies to being a CFTC Commissioner, at least in my case.

FSB: Public Responses To The November 2014 Consultative Document ‘Adequacy Of Loss-Absorbing Capacity Of Global Systemically Important Banks In Resolution’

Date 06/02/2015

Abstract

On 10 November 2014, the FSB published its consultative document entitled “Adequacy of loss-absorbing capacity of global systemically important banks (G-SIBs) in resolution”. Interested parties were invited to provide written comments by 2 February 2015. These comments are available below.

The EBRD And Bucharest Stock Exchange Reach Out To International Investors

Date 06/02/2015

The European Bank for Reconstruction and Development (EBRD) hosted a conference at its headquarters in London on 6 February 2015 to discuss the development of Romania’s capital markets.

SEC Imposes Sanctions Against China-Based Members Of Big Four Accounting Networks For Refusing To Produce Documents

Date 06/02/2015

The Securities and Exchange Commission today imposed sanctions against four China-based accounting firms that had refused to turn over documents related to investigations of potential fraud.  The China-based firms are members of large international networks associated with the “Big Four” accounting firms and registered with the Public Company Accounting Oversight Board (PCAOB).