News Centre

CFTC Orders Utah Resident Scott A. Beatty And His Company, Peak Capital Management Group, Inc., To Pay Over $1.6 Million For Forex Fraud And Making False Statements To The CFTC During An Investigation - Beatty And Peak Capital Are Permanently Barred From The Commodities Industry

Date 30/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order requiring Scott A. Beatty of Roy, Utah, individually and doing business as Peak Capital Group, Inc., and his Ogden, Utah-based company, Peak Capital Management Group, Inc. (Peak Capital), jointly to pay restitution of $641,000 and a $1 million civil monetary penalty for committing fraud and misappropriation, making false statements to the CFTC, and failing to register with the CFTC in connection with operating a leveraged or margined off-exchange foreign currency (forex) scheme. Neither Beatty nor Peak Capital has ever been registered with the CFTC.

SEC Charges Two With Insider Trading On Pershing Square’s Announcement On Herbalife

Date 30/09/2014

The Securities and Exchange Commission today announced charges against two individuals for insider trading on a prominent hedge fund manager’s announcement that his hedge fund had formed a negative view of Herbalife Ltd. and taken a $1 billion short position in its securities. 

U.S. Commodity Futures Trading Commission And Australian Securities And Investments Commission Sign Memorandum Of Understanding To Enhance Supervision Of Cross-Border Regulated Entities

Date 30/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) announced today that CFTC Chairman Tim Massad and Chairman Greg Medcraft of the Australian Securities and Investments Commission (ASIC) have signed a Memorandum of Understanding (MOU) regarding cooperation and the exchange of information in the supervision and oversight of regulated entities that operate on a cross-border basis in the United States and in Australia.

Warsaw Stock Exchange: Fifth Anniversary Of Catalyst

Date 30/09/2014

• It has been five years on 30 September since the debt securities market Catalyst launched
• Catalyst listed bonds of 188 Polish and foreign issuers at the end of August; bonds of 38 issuers were newly listed on the market in the eight months of 2014
• The total value of 462 series of non-Treasury bonds was PLN 68 billion

U.S. Commodity Futures Trading Commission And Australian Securities And Investments Commission Sign Memorandum Of Understanding To Enhance Supervision Of Cross-Border Regulated Entities

Date 30/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) announced today that CFTC Chairman Tim Massad and Chairman Greg Medcraft of the Australian Securities and Investments Commission (ASIC) have signed a Memorandum of Understanding (MOU) regarding cooperation and the exchange of information in the supervision and oversight of regulated entities that operate on a cross-border basis in the United States and in Australia.

CME Group Inc. Announces Date Of Third-Quarter 2014 Earnings Release, Conference Call

Date 30/09/2014

CME Group Inc. will announce earnings for the third quarter of 2014 before the markets open on Thursday, October 30, 2014.  The company has scheduled an investor conference call that day at 7:30 a.m. Central time.

CFTC Files Complaint Charging Daniel Shak Of Las Vegas With Violating A CFTC Order Settling Charges Of Attempted Manipulation Of NYMEX Crude Oil Futures Contracts - The CFTC Order Entered In November 2013 Prohibits Shak From Trading Futures Contracts During The Closing Period For A Two-Year Period

Date 30/09/2014

The U.S. Commodity Futures Trading Commission (CFTC) today filed a civil enforcement Complaint in U.S. District Court for the District of Columbia against Defendant Daniel Shak of Las Vegas, Nevada, for violating an administrative Order (CFTC Order) entered by the CFTC on November 25, 2013 (see CFTC Press Release 6781-13). The CFTC Order, among other things, prohibited Shak from trading outright futures contracts in any market during the closing period for a period of two years.

Direct Edge Trading Notice #14-39: BATS One Feed Release Postponed Pending SEC Approval

Date 30/09/2014

The production release of the BATS One Feed has been delayed pending SEC approval.  BATS has completed work on all versions of the BATS One Feed and is prepared for a production release once final approval has been received.

ESMA Issues Updated Q&A On The Application Of The Alternative Investment Managers Directive (AIFMD)

Date 30/09/2014

The European Securities and Markets Authority (ESMA) published today an update of its Questions & Answers (Q&A) document on the application of the Alternative Investment Managers Directive (AIFMD).

ASR Nederland N.V. Lists EUR 500 Million Bond On Euronext Amsterdam

Date 30/09/2014

Euronext announces the successful corporate bond listing by ASR Nederland N.V. on its Amsterdam market (ISIN: XS1115800655).