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ASIC: Pershing Securities Australia Pty Ltd Pays $15,000 Infringement Notice Penalty

Date 31/01/2014

Pershing Securities Australia Pty Ltd (Pershing) has paid a penalty of $15,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The penalty was for failing to give confirmations to Retail Clients for Market Transactions entered into on the Retail Clients’ instructions.
New Zealand's Financial Markets Authority AFA Update: Issue # 20 - Helping You Understand The Changes Ahead For DIMS

Date 31/01/2014

Check out our recent factsheet ‘Changes ahead for AFAs who provide DIMS’.
ASIC Releases Report On Regulating Complex Products

Date 31/01/2014

With financial products and markets continually growing in complexity, ASIC has reviewed its approach to regulating complex products.
SEC Charges Manhattan-Based Private Equity Manager With Stealing $9 Million In Investor Funds

Date 31/01/2014

The Securities and Exchange Commission today charged a Manhattan-based private equity manager and his firm with stealing $9 million from investors in their private equity fund.
CFTC Announces Agenda For The Upcoming Public Meeting Of The Technology Advisory Committee

Date 30/01/2014

The U.S. Commodity Futures Trading Commission (CFTC) announces today the full agenda for the upcoming CFTC Technology Advisory Committee (TAC) public meeting. The meeting will be held on Monday, February 10, 2014 at the CFTC’s headquarters in Washington, D.C. from 10 a.m. to 5 p.m. For more information regarding the meeting, view CFTC Press 6840-13.

Federal Open Market Committee Unanimously Selects Janet L. Yellen To Serve As Its Chair, effective February 1, 2014

Date 30/01/2014

The Federal Open Market Committee, at its annual organizational meeting this week, unanimously selected Janet L. Yellen to serve as its Chair, effective February 1, 2014. She is scheduled to be sworn in as Chair of the Board of Governors of the Federal Reserve System at 9 a.m. EST February 3. She will remain as Board Vice Chair over the weekend, with the authority to exercise all the duties of the Chair.
The Commodity Futures Trading Commission’s Division Of Market Oversight Announces Trade Execution Mandate For Certain Credit Default - MarketAxess SEF Corporation’s Available-To-Trade Determinations Are Self-Certified

Date 30/01/2014

The Commodity Futures Trading Commission’s (CFTC or Commission) Division of Market Oversight (Division) today announced that MarketAxess SEF Corporation’s (MarketAxess) self-certification of available-to-trade determinations (MAT Determination) for certain credit default swap (CDS) contracts is self-certified.
CBOE Futures Exchange Announces Launch Date For CBOE Short-Term VIX Futures With Weekly Expirations - Particularly Responsive To Short-Term Moves In S&P 500 Index - Combine Benefits Of VIX Futures And SPX Weeklys

Date 30/01/2014

CBOE Futures Exchange, LLC (CFE®) announced today that it plans to launch trading of futures with weekly expirations on the new CBOE Short-Term Volatility Index^SM (ticker symbol: VXST^SM) on Thursday, February 13, pending regulatory review.
SEC Charges N.Y.-Based Money Manager And Firm For Misleading Advertisements

Date 30/01/2014

The Securities and Exchange Commission today charged a New York-based money manager and his firm with making false claims through Twitter, newsletters, and other communications about the success of their investment advice and a mutual fund they manage.
Broadridge Appoints Industry Veteran Bennett Egeth As President Of Expanded Investment Management Business - Offers Investment Management, Reference Data And Risk Technology Solutions

Date 30/01/2014

Broadridge Financial Solutions (NYSE:BR), the leading provider of technology-driven solutions for financial services firms globally, today announced that it has appointed Bennett Egeth as President of its newly-expanded Investment Management business. Building on Broadridge’s 2011 acquisition of Paladyne Systems, Inc., this business offers investment managers, global banks, broker-dealers and fund administrators comprehensive solutions for investment management, reference data and risk technology including enterprise-wide order management, portfolio management and reporting.