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Date 31/12/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues Further No-Action Relief For Certain U.S. Banks Wholly Owned By Non-U.S. Swap Dealers, For Purposes Of Making Calculations Under The Swap Dealer Definition
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides further relief for certain U.S. banks that are wholly owned by non-U.S. swap dealers.
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Date 31/12/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Letter Providing Registration Relief To Certain Introducing Brokers And Commodity Trading Advisors Involved In Swaps Activities
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 (IB) or commodity trading advisor for certain affiliates of a swap dealer or swap counterparty that is within the de minimis exception to the swap dealer definition. The relief also extends to the affiliates’ employees where the employees engage in certain activity in support of and on behalf of the swap dealer or swap counterparty. The relief is subject to a number of conditions, including that the affiliates and the swap dealer or swap counterparty undertake to be jointly and severally liable for violations of the CEA or the Commission's regulations with respect to the relevant activity, and that the affiliates and employees are not subject to a statutory disqualification.
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Date 31/12/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Letter Providing Time-Limited Registration Relief To Certain Associated Persons
The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) announced in a letter that it is taking a no-action position that extends the temporary registration relief it previously granted in CFTC Letter 12-15 (October 12, 2012) to certain associated persons (AP).
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Date 31/12/2012
Athens Exchange Market Operations Committee Decision
The Market Operations Committee of ATHEX, during today's session, approved the application of price fluctuation limits of ±10%, for January 2013, for the low turnover velocity Stocks of the ATHEX Main Market (monthly average velocity of last month less or equal to 0.01%) presented in Table 1, according to the ATHEX Board Decision 22.
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Date 31/12/2012
ADX Hosts Orientation Presentation On New Trading Mechanism"
Abu Dhabi Securities Exchange (ADX) organized a presentation on it new and upcoming trading mechanism for media personnel.
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Date 31/12/2012
UK's Financial Services Authority: Changes To Financial Advice Come Into Force
The Retail Distribution Review (RDR) comes into force from today, 31 December 2012. This is the Financial Services Authority’s (FSA) most extensive and far-reaching policy project to date.
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Date 31/12/2012
HKEx Report On Initial Public Offering Applications, Delisting And Suspensions - As At 31 December 2012
HKEx Report On Initial Public Offering Applications, Delisting And Suspensions - As At 31 December 2012
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Date 30/12/2012
To Promote Securities Investment Practices And Introduce New Analytical Techniques On Traded Products - Qatar Exchange Signs MoU With QFIS – Hamad Bin Khalifa University
Qatar Exchange and the Qatar Faculty of Islamic Studies - Hamad Bin Khalifa University today signed a memorandum of understanding for cooperation between the two sides in the field of education, training and consultation in terms of investment products traded on Qatar Exchange and global financial markets. This MoU is part of QE’s ongoing efforts to promote and strengthen the culture of securities investments among citizens and expatriates in the State of Qatar.
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Date 28/12/2012
BATS 1000 Index Drops 2.0% This Week
BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) slid 324.54 points, or 2.0%, this week to close at 15,782.06 as of the 4 p.m. ET market close today.
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Date 28/12/2012
Direct Edge Trading Notice #12-64: EDGA And EDGX Behavior During Locked And Crossed Markets
Please be advised that EDGA Exchange, Inc. (EDGA®) and EDGX Exchange, Inc. (EDGX®) have discovered two separate discrepancies between their order priority rules, EDGA Rule 11.8(a) andEDGX Rule 11.8(a), and existing functionality on their respective Matching Engines that may occur during locked or crossed markets.
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