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CFTC’s Division Of Swap Dealer And Intermediary Oversight Announces Streamlined Approach For Considering Requests For Relief From Registration For Delegating Commodity Pool Operators

Date 13/05/2014

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) announced in a letter today a streamlined approach for considering requests for registration no-action relief on an expedited basis from commodity pool operators (CPO) who delegate certain activities to a registered CPO.
Statement On Jury’s Verdict In Case Against The Wylys: Andrew Ceresney, Director, SEC Division Of Enforcement

Date 12/05/2014

“We are gratified by the jury’s verdict finding the Wylys liable for fraud and violations of the reporting requirements for corporate insiders. As proved at trial, the Wylys violated the law by using a system of offshore trusts to conceal their transactions as directors of publicly-traded companies. We will continue to hold accountable, and bring to trial when necessary, those who commit fraud no matter how complex their scheme or how hard they try to hide it.”
CME Clearing Europe First To Receive Regulatory Approval For New Full Segregation Client Protection Model

Date 12/05/2014

CME Clearing Europe, CME Group's European clearing house, today announced that it is the first central counterparty (CCP) globally to receive Bank of England approval of the full segregation client protection model with enhanced protection for all bankruptcy scenarios. This new client protection model fully segregates collateral with an external custodian at the client level. The enhanced protection it offers for all bankruptcy scenarios is expected to result in favourable capital treatment.
TSX Ignite Continues Live Events In Ottawa On May 13

Date 12/05/2014

Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV) continue the TSX Ignite live event series in Ottawa on Tuesday, May 13. Launched in March 2014, this innovative program is designed to help support the growth and development of small and medium-sized enterprises in Canada by providing companies with information, motivation and tips on how to build great businesses.
Changes In The Composition Of The ATHEX Indices

Date 12/05/2014

Subject to the successful completion of the share capital increase of the company "NATIONAL BANK OF GREECE S.A." the investability weight of the company's shares to all ATHEX indices, will change to 43% from 16%.

SEC: Three Software Company Founders To Pay $5.8 Million To Settle Charges Of Insider Trading Ahead Of Sale

Date 12/05/2014

The Securities and Exchange Commission today filed insider trading charges against three software company founders for taking unfair advantage of incorrect media speculation and analyst reports about the company’s acquisition.
A First In The Eurozone: Bank Of China To List Its First “Schengen Bond” On The Luxembourg Stock Exchange

Date 12/05/2014

On 8th May 2014, Bank of China successfully launched its first offshore Renminbi (RMB) “Schengen bond”. This bond, which will be listed on the Euro MTF market of the Luxembourg Stock Exchange, has enabled Bank of China to be the first Chinese mainland company to issue RMB bonds in the Eurozone.
Introductory Remarks At The Evolving Role Of Compliance In The Securities Industry Presentation, SEC Commissioner Daniel M. Gallagher, Washington, D.C., May 12, 2014

Date 12/05/2014

Thank you, David [Blass]. I’m very pleased to be here this morning to kick off today’s discussion of a timely and critical topic: the evolving role of compliance professionals. I’d be remiss if I didn’t begin by expressing my thanks to the team responsible for today’s event: Mike Stone, who suggested the event in the first place, our panelists Howard Plotkin and Jerry Baker, and David Blass [and Steve Benham] from the Division of Trading and Markets, who worked with our panelists to put together today’s event. It’s very heartening to me that there are people like Mike, Howard, and Jerry who are willing to so generously volunteer their time to help the Commission better understand the myriad and complicated challenges facing today’s compliance professionals. I often speak of the scoundrels and miscreants in the securities industry; it’s a genuine pleasure to be here today with folks from the other end of the spectrum.
ISDA Response To UK HMT On Bail-In Powers Implementation, Including Draft Secondary Legislation

Date 12/05/2014

Click here to download the ISDA response to UK HMT on bail-in powers implementation (including draft secondary legislation).
MGEX Open Interest Takes Large Leap - Back On Record Sheet

Date 12/05/2014

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports daily Exchange open interest back in the top 15. Open interest increased by 1,904 open contracts from Thursday’s trade date to Friday’s trade date.