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News Centre
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Date 29/03/2013
Australian Research Analyst Extradited On Insider Trading Charges
Trent Martin was extradited from Hong Kong yesterday to face insider trading charges, announced U.S. Attorney for the Southern District of New York Preet Bharara and Assistant Director-in-Charge of the FBI New York Field Office George Venizelos, the announced the arrival of . He was arrested in Hong Kong on Dec. 22, 2012, following to a request from the United States. Martin will be presented in New York federal court before U.S. Magistrate Judge Henry B. Pitman this afternoon at 2:30 p.m.
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Date 29/03/2013
New York Hedge Fund Portfolio Manager Charged With Insider Trading - Michael Steinberg Allegedly Earned $1.4 Million In Illegal Profits
Michael Steinberg, a portfolio manager at a hedge fund located in New York, N.Y. (Hedge Fund A) was charged today with securities fraud for his alleged involvement in an insider trading scheme, announced U.S. Attorney for the Southern District of New York Preet Bharara and Assistant Director-in-Charge of the New York Field Office of the FBI George Venizelos. As alleged, Steinberg executed trades based on material, nonpublic information provided to him by a Hedge Fund A analyst who worked for him, John Horvath, who previously pleaded guilty to securities fraud charges pursuant to a cooperation agreement. In particular, Steinberg is alleged to have traded in two publicly traded technology companies, Dell, Inc. and NVIDIA Corporation, based on inside information that Horvath obtained from a circle of research analysts at several different investment firms, all of whom have also pleaded guilty for their roles in the scheme. Those individuals are: Jesse Tortora, a former research analyst at Diamondback; Spyridon “Sam” Adondakis, a former research analyst at Level Global; Danny Kuo, a former research analyst and fund manager at Whittier Trust Company; and Sandeep “Sandy” Goyal, a former research analyst who worked at the Manhattan office of Neuberger Berman. Steinberg’s trading in Dell and NVIDIA earned Hedge Fund A $1.4 million in illegal profits. Steinberg was arrested this morning in Manhattan and will be presented and arraigned in New York federal court before U.S. District Judge Richard J. Sullivan at 11:00 a.m.
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Date 29/03/2013
CFTC Approves Final Regulations Governing Dual And Multiple Associations Of Associated Persons Of Swap Dealers And Major Swap Participants
The Commodity Futures Trading Commission (Commission) has approved final regulations governing dual and multiple associations of associated persons (APs) of swap dealers (SDs), major swap participants (MSPs) and other Commission registrants. The regulations make clear that each SD, MSP and other Commission registrant with whom an AP is associated is required to supervise the AP and is jointly and severally responsible for the activities of the AP with respect to customers common to it and any other SD, MSP or other Commission registrant.
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Date 29/03/2013
U.S. Treasury Secretary Lew To Travel To Europe For Meetings With Senior Government Officials, April 8-9, 2013
The U.S. Department of the Treasury today announced that Secretary Jacob J. Lew will travel to Europe April 8-9, 2013 for discussions with his counterparts on economic developments in Europe and policies to boost global growth and promote financial stability.
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Date 29/03/2013
CFTC Charges North Carolina Resident James Harvey Mason With Commodity Pool Fraud - Federal Court Issues Emergency Order Freezing Assets And Protecting Books And Records Of Mason, The JHM Forex Only Pool, And Forex Trading At Home
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Graham Mullen of the U.S. District Court for the Western District of North Carolina entered an emergency Order freezing and preserving assets under the control of defendant James Harvey Mason of Graham, North Carolina, and relief defendants The JHM Forex Only Pool (JHM) and Forex Trading at Home (FTAH). The Order also prohibits Mason, JHM, and FTAH from destroying books and records, appoints a receiver to protect customer funds, and grants the CFTC immediate access to the records of the defendant and his agents.
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Date 29/03/2013
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Relief For Certain Persons From Registration As An Introducing Broker Or Commodity Trading Advisor
The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission announced today in a letter that it is taking a no-action position which provides relief from the requirement to register as an introducing broker or a commodity trading advisor for certain affiliates of a swap counterparty and the affiliates’ employees, where the affiliates and their employees engage in certain activity on behalf of the swap counterparty and the swap counterparty has commenced application for registration as a swap dealer or has exceeded the de minimis amount of swap dealing activity under Commission Regulation 1.3(ggg)(4)(i). The letter makes available registration relief to certain persons who would not otherwise be eligible for the relief DSIO previously provided to Agent Affiliates under CFTC Letter No. 12-70 (December 31, 2012). The relief is subject to a number of conditions, including that the swap counterparty be registered as a swap dealer within a specific period of time and conditions similar to those specified in CFTC Letter No. 12-70.
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Date 29/03/2013
SEC Charges Sigma Capital Portfolio Manager With Insider Trading
The Securities and Exchange Commission today charged Michael Steinberg, a portfolio manager at New York-based hedge fund advisory firm Sigma Capital Management, with trading on inside information ahead of quarterly earnings announcements by Dell and Nvidia Corporation.
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Date 29/03/2013
Methods For Calculating Moscow Exchange Broad Market Indices, Second-Tier Indices And Sector Indices Adopted
Moscow Exchange has adopted calculation methodologies for its Broad Market Indices, Second-Tier Indices and sector indices.
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Date 29/03/2013
WSE And Exchange Members Agree Modifications To The Trading Session Timetable
Meetings of the Exchange Management Board and representatives of the Council of Brokerage Houses and the Management Board of the Chamber of Brokerage Houses have been held on 27 and 28 March to agree modifications to the continuous trading timetable on the markets organised by the WSE. The parties have reached an agreement concerning the modified timetable.
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Date 29/03/2013
Japan Exchange Group: Regarding News Reports - Tick Sizes
Today, there were some reports in the media on reducing the price increments of bids and offers (tick sizes).
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