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CFTC Orders Sean R. Stropp To Pay $250,000 Penalty To Settle Charges Of Making False And Misleading Statements During A CFTC Investigation

Date 18/03/2014

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Sean R. Stropp (Stropp), formerly of Jupiter, Florida. Stropp is ordered to pay a $250,000 civil monetary penalty for making false and misleading statements of material fact, and omitting material facts, to CFTC staff during a CFTC Division of Enforcement (DOE) investigation. The Order enforces the false statements provision of the Commodity Exchange Act (CEA), which was added by the 2010 Dodd-Frank Act.
SEC And FINRA To Hold Regional Compliance Outreach Programs For Broker-Dealers

Date 18/03/2014

The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the regional compliance outreach programs for broker-dealers that will take place in Denver, Los Angeles, Chicago, Miami, Philadelphia, and New York, beginning in the spring.
MEPs Discuss Bank Supervision And Resolution With Daniele Nouy

Date 18/03/2014

Work on setting up the EU's bank supervisor and undertaking the planned asset quality review is "well on track", ECB bank supervisor chair Daniele Nouy told the Economic and Monetary Affairs Committee on Tuesday. Legislators on all sides now need to show willingness to compromise in order to agree on a mechanism for winding down banks that can deliver rapid and reliable decisions and mobilise credible and readily accessible funding, she added.
Finansinspektionen (FI) i- Swedish Financial Supervisory Authority - Does Not Grant Waivers From The Basel 1 Floor

Date 18/03/2014

Finansinspektionen (FI) does not consider it to be appropriate to grant banks the option of waivers from the so-called Basel 1 floor. FI wishes to continue ensuring that the banking system is sufficiently resilient, which safeguards financial stability.
FINRA And BATS Order Citigroup Global Markets Inc. To Pay $1.1 Million For Illegal Short Selling In Advance Of Five Public Offerings And For Related Supervisory Violations - Sanctions Include $559,000 In Fines, More Than $538,000 In Disgorgement

Date 18/03/2014

The Financial Industry Regulatory Authority (FINRA) and BATS Exchange1, Inc. announced today that they have jointly ordered Citigroup Global Markets Inc. to pay approximately $1.1 million in connection with short selling ahead of participating in five public offerings of securities, in violation of Rule 105 of Regulation M. The payments include the disgorgement of more than $538,000, plus interest, of profits and improper financial benefits, and approximately $559,000 in fines. Citigroup also violated supervisory requirements related to Rule 105; and as part of the sanction, the firm was ordered to update its written supervisory procedures for Rule 105 compliance.

Euronext Signs Agreement On UTP Implementation With Four MENA Exchanges - Underlining Success Of UTP Model

Date 18/03/2014

Euronext, a wholly owned subsidiary of IntercontinentalExchange Group (NYSE: ICE), today announced that it has successfully signed agreements with four exchanges in the Middle East and North Africa (MENA) region for the implementation of its new UTP solution, UTP-Hybrid.
NASDAQ OMX Clearing Receives EMIR Authorisation - First Clearing House In Europe To Be Authorised As EMIR Compliant

Date 18/03/2014

NASDAQ OMX Clearing, the multi-asset clearing house based in Stockholm, today announced that the Swedish FSA (SFSA) has approved its application as a central counterparty under the European Market Infrastructure Regulation (EMIR). The decision by the SFSA followed an opinion on March 12th by a college of regulators and central banks from Denmark, Finland, Norway, Sweden, and the UK, as well as the European Central Bank (ECB) and the European Securities and Markets Authority (ESMA).
CBOE CEO Edward Tilly At 30th Annual CBOE Risk Management Conference: Announces Plans For June 22 Launch Of 24-Hour VIX Futures Trading

Date 18/03/2014

CBOE Futures Exchange(SM) (CFE^®) plans to extend CBOE Volatility Index^® (VIX^® Index) futures trading hours to nearly 24 hours a day, five days a week, beginning Sunday, June 22, CBOE Holdings Chief Executive officer Edward T. Tilly announced this morning at the 30^th annual CBOE Risk Management Conference (RMC) in Bonita Springs, Florida.
TOCOM And DME To Collaborate On Energy Products

Date 18/03/2014

The Tokyo Commodity Exchange, Inc. (TOCOM), Asia’s leading commodity derivatives exchange listing industrial and agricultural products, and DME, the premier international energy futures and commodities exchange in the Middle East, today announced that they have signed a Memorandum of Understanding (MoU) to strengthen their cooperation in promoting the development of energy contracts and in particular crude oil which is listed on both exchanges.
Treasury International Capital Data For January

Date 18/03/2014

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for January 2014. The next release, which will report on data for February 2014, is scheduled for April 15, 2014.