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NASDAQ OMX Lists First Trust Strategic Income ETF - Provides Financial Advisors With An Innovative Approach To Generating Income

Date 19/08/2014

NASDAQ OMX today announced that First Trust listed a new exchange-traded fund (ETF) which began trading on Thursday, August 14, 2014. First Trust Strategic Income ETF (Nasdaq:FDIV), listed on The NASDAQ Stock Market® (NASDAQ®).
New York State Department Of Financial Services' Consent Order Relating To Standard Chartered

Date 19/08/2014

Following on from its disclosure of 6th August 2014, Standard Chartered (“the Group”) announces it has reached a final settlement with the New York State Department of Financial Services (“DFS”) regarding deficiencies in the anti-money laundering transaction surveillance system at its New York branch.
NYSE Member Firms Report Second-Quarter Results

Date 19/08/2014

New York Stock Exchange member firms that conduct business with the public reported a second-quarter 2014 after-tax profit of $2.2 billion and revenues of approximately $43.15 billion, compared with a $3.47 billion after-tax profit on revenues of about $43.74 billion in the first-quarter of 2014.
CFTC Staff Issues Time-Limited, Conditional No-Action Relief Regarding Documentation Of Confirmations Of Uncleared Swap Transactions

Date 19/08/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Market Oversight (DMO) recently issued a no-action letter providing swap execution facilities (SEFs) time-limited, conditional relief from certain data reporting and recordkeeping requirements in relation to confirmations required for uncleared swap transactions executed on or pursuant to the rules of a SEF under Commission regulation 37.6(b). The no-action relief provided will expire at midnight (EDT) on September 30, 2015.
New York State Department of Financial Services Announces Standard Chartered Bank To Suspend Dollar Clearing For High-Risk Clients In Hong Kong - Pay $300 Million Penalty - Take Other Remedial Steps After Anti-Money Laundering Compliance Failures

Date 19/08/2014

Benjamin M. Lawsky, Superintendent of Financial Services, announced an order today regarding Standard Chartered Bank's ("SCB") failures to remediate anti-money laundering compliance problems as required in the Bank's 2012 settlement with the New York State Department of Financial Services (NYDFS).

CFTC Staff Issues No-Action Letter For Clearing Corporation Of India Ltd.

Date 19/08/2014

The U.S. Commodity Futures Trading Commission’s (Commission) Division of Clearing and Risk (DCR) recently issued a time-limited no-action letter stating that DCR will not recommend that the Commission take enforcement action against Clearing Corporation of India Ltd. (CCIL) for failing to register as a derivatives clearing organization (DCO) pursuant to Section 5b(a) of the Commodity Exchange Act (CEA).
SEC Announces Municipal Advisor Exam Initiative

Date 19/08/2014

The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an examination initiative directed at newly regulated municipal advisors.
Commodity Hedge Funds’ Positive Performance Brought To A Halt - Newedge Commodity Trading Index Enters Negative Territory For July, But Is Still Positive YTD

Date 19/08/2014

Newedge, a global leader in multi-asset brokerage and clearing, today announced the performance for its suite of hedge fund indices for the month of July.
ACER Presents Its Conclusions Paper ‘Energy Regulation: A Bridge To 2025’

Date 19/08/2014

ACER, in cooperation with CEER, is pleased to invite institutional representatives, stakeholders and other interested parties to the presentation of its Conclusions Paper “Energy Regulation: A Bridge to 2025” to take place on 23 September at the CEER offices in Brussels. The event will also be broadcast live via webstream. The Paper contains European energy regulators’ considered conclusions on the challenges we expect the electricity and gas sectors to face over the coming decade and on the appropriate regulatory response within the framework of the Europe’s Internal Energy Market. Find out more here.
Straits Financial LLC Joins Dubai Mercantile Exchange As Clearing Member

Date 19/08/2014

Dubai Mercantile Exchange (DME), the Middle East’s premier international energy futures and commodities exchange today announced the approval of Straits Financial LLC as a Clearing Member.