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  • ISE And ISE Gemini Enhance Risk Management With Market-Wide Speed Bump

    Date 20/02/2014

    The International Securities Exchange Holdings, Inc. today announced that its exchanges ISE and ISE GeminiTM have enhanced their risk management capabilities for market makers by implementing a Market Wide Speed Bump. The Market Wide Speed Bump improves risk management by limiting a market maker’s total exposure across a market.  As part of the exchanges’ existing portfolio of risk management offerings, market makers are required to set risk thresholds for each options class they are quoting. The Market Wide Speed Bump is activated automatically if these thresholds are breached for multiple products within a specified time period, and all quotes for that market maker are then inactivated. 

  • SEC Announces Initiative Directed At Never-Before Examined Registered Investment Advisers

    Date 20/02/2014

    The Securities and Exchange Commission today announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at investment advisers that have never been examined, focusing on those that have been registered with the SEC for three or more years.  OCIE previously announced that examining these advisers is a priority in 2014.

  • TMX Group Readies Launch Of TMX Quantum XA On Toronto Stock Exchange

    Date 20/02/2014

    TMX Group today announced that it has reached a major milestone in the phased launch of its new high performance trading engine, TMX Quantum XA™. Customers are now able to connect to the new trading platform in a test environment and participate in simulated order entry sessions in preparation for the migration of Toronto Stock Exchange symbols, planned for June 2014.

  • Statement On Court Filing By SEC To Protect Whistleblowers From Retaliation

    Date 20/02/2014

    “The Commission’s whistleblower program both encourages whistleblowers to report wrongdoing and protects them when they do.  Today's filing makes clear that under SEC rules, whistleblowers are entitled to protection regardless of whether they report wrongdoing to their employer or the Commission.  The Commission's brief supports the anti-retaliation protections under the Dodd-Frank Act that I believe are critical to the success of the SEC's whistleblower program.”

  • Treasury Releases Last Substantial Rules Package To Combat Offshore Tax Evasion - Amends FATCA Provisions And Coordinates FATCA Regulations With Preexisting Tax Rules

    Date 20/02/2014

    The U.S. Department of the Treasury and Internal Revenue Service (IRS) today released the last substantial package of regulations necessary to implement the Foreign Account Tax Compliance Act (FATCA). Each year, some wealthy individuals evade millions of dollars in taxes through the use of offshore financial accounts that are not reported to the IRS or other tax authorities. This international tax evasion is illegal, contributes to the federal debt, and creates inequity within the tax system. Congress enacted FATCA in 2010 with bipartisan support to target these illicit activities, and the provision has since become the global standard for promoting tax transparency. The proposed and temporary regulations released today make additions and clarifications to previously issued FATCA regulations and provide guidance to coordinate FATCA rules with preexisting due diligence, reporting, and withholding requirements under other provisions of the Internal Revenue Code (Code).