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Date 18/10/2013
CFTC Seeks Public Comment On Certification From Javelin SEF, LLC To Implement Available-To-Trade Determinations For Certain Interest Rate Swaps
The Commodity Futures Trading Commission (CFTC or Commission) is requesting public comment on a certification from Javelin SEF, LLC (Javelin) to implement available-to-trade determinations for certain interest rate swap contracts. Javelin submitted its available-to-trade determinations to the Commission on a self-certified basis pursuant to Commission regulations 37.10 and 40.6. If Javelin’s submission is deemed certified by operation of Commission regulation 40.6, such swap contracts, whether listed or offered by Javelin or any other designated contract market (DCM) or swap execution facility (SEF), will be subject to the trade execution requirement under section 2(h)(8) of the Commodity Exchange Act (CEA). All transactions involving swaps that are subject to the trade execution requirement generally must be executed on either a DCM or a SEF. In addition, to the extent that such transactions are executed on a SEF, they must be executed in accordance with the execution methods prescribed by Commission regulation 37.9(a)(2).
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Date 18/10/2013
BATS 1000 Index Rises 2.3% This Week
BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) jumped 452.20 points, or 2.3%, this week to close at 19,713.62 as of the 4 p.m. ET market close today.
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Date 18/10/2013
Joint Associations Committee On Retail Structured Products Response To The Joint Forum Consultative Document: Point Of Sale Disclosure In The insurance, Banking And Securities Sector
This paper responds to the Joint Forum Consultative Document: Point of Sale disclosure in the insurance,banking and securities sector (the “Consultation”) which has been prepared in order to identify and assess differences and gaps in regulatory approaches to Point of Sale (“POS”) disclosure in relation to investment or savings products in the insurance, banking and securities sectors. The Joint Associations Committee on Retail Structured Products (the “JAC”)1 welcomes the opportunity to comment on the recommendations and issues set out in the Consultation. We agree with and fully support the objective of enhancing consumer protection by providing guidance to regulators/supervisors that are considering developing or reviewingtheir POS disclosure requirements.
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Date 18/10/2013
SEC Announces Fraud Charges Against Collateral Manager Of CDO
The Securities and Exchange Commission today announced charges against a Morristown, N.J.-based investment advisory firm and its owner for misleading investors in a collateralized debt obligation (CDO) and breaching their fiduciary duties.
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Date 18/10/2013
TSX Markets Top 20 Largest Consolidated Short Position Report - October 15, 2013
Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending October 15, 2013.
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Date 18/10/2013
ESMA Publishes Signed AIFMD Cooperation Agreements
The European Securities and Markets Authority (ESMA) has published a table showing the state of play of Memoranda of Understanding (MoUs) signed by EU national supervisors. ESMA had negotiated the template MoUs regarding the Alternative Investment Fund Directive (AIFMD) with non-EU regulators around the globe. The AIFMD MoUs allow the exchange of information between EU and non-EU supervisors thus enabling non-EU fund managers to market alternative funds within the European Union. The AIFMD covers hedge funds, private equity and real estate funds.
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Date 18/10/2013
TOM MTF Statistics Week 42, 2013
Click here to download the weekly statistics update of TOM MTF for week 42 - 2013.
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Date 18/10/2013
Platts: Asia Spot LNG Prices For November Delivery Up 4.1% On Looming Demand - On A Year-Over-Year Basis, November Prices Were Up 22.0%
Prices of liquefied natural gas (LNG) for November delivery to Asia rose 4.1% to an average $15.864 per million British thermal units (/MMBtu), as North Asian utilities increased storage levels ahead of the peak winter demand season, according to the latest monthly Platts Japan/Korea Marker (JKM), which reflects month-ahead delivery. The monthly average Platts JKM for delivery in November was assessed from September 16 to October 14.
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Date 18/10/2013
Hedge Funds – A New Era Of Transparency And Openness - Remarks Of SEC Chair Mary Jo White, Managed Funds Association Outlook 2013 Conference On October 18, 2013
Thank you very much Richard for that kind introduction. I am very happy to be here today and particularly pleased that I could join you at this conference at such an important time in your industry.
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Date 18/10/2013
Kickstarter In Legal Threat Over #UKCrowdfundingDay
US Crowdfunding giant Kickstarter has threatened the organisers of #UKCrowdfundingDay with legal action.
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