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  • J. Christopher Giancarlo Sworn In As A Commissioner Of The U.S. Commodity Futures Trading Commission

    Date 16/06/2014

    J. Christopher Giancarlo was officially sworn in today, after being confirmed by the U.S. Senate on June 3, to serve as a Commissioner of the U.S. Commodity Futures Trading Commission (CFTC), the federal agency that oversees the commodity futures, options and swaps industry. Mr. Giancarlo assumed his responsibilities today.

  • IEX Hires Former SEC Head Of Division Of Trading And Markets

    Date 16/06/2014

    IEX today announced that John Ramsay, until recently the Acting Director of the Securities and Exchange Commission’s Division of Trading and Markets, is joining the company as its Chief Market Policy and Regulatory Officer. In this role, he will work with a broad range of constituents, including investors, broker-dealers, trading venues, and governmental and regulatory authorities, to advance the company’s investor and industry engagement objectives and will oversee the company’s compliance with its regulatory obligations and its self-regulatory obligations, once IEX is registered as a national securities exchange.

  • NYSE President Farley To Testify On Market Structure

    Date 16/06/2014

    The New York Stock Exchange, part of the Intercontinental Exchange (NYSE: ICE) global network, announced today that NYSE President Thomas W. Farley will appear before the Homeland Security and Governmental Affairs Permanent Subcommittee on Investigations tomorrow to discuss equity market structure.

  • SEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions And Retaliating Against Whistleblower - First SEC Case Under New Authority To Bring Anti-Retaliation Enforcement Actions

    Date 16/06/2014

    The Securities and Exchange Commission today charged an Albany, N.Y.-based hedge fund advisory firm with engaging in prohibited principal transactions and then retaliating against the employee who reported the trading activity to the SEC.   This is the first time the SEC has filed a case under its new authority to bring anti-retaliation enforcement actions.  The SEC also charged the firm’s owner with causing the improper principal transactions. 

  • FESE Blueprint To Boost European Growth

    Date 16/06/2014

    Operators of Europe's Regulated Markets believe that the new EU policy cycle should focus on economic growth. This will require changes around five main areas. For further information and references, click here.