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  • BATS 1000 Index Rises 2.3% This Week

    Date 18/10/2013

    BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) jumped 452.20 points, or 2.3%, this week to close at 19,713.62 as of the 4 p.m. ET market close today.

  • Joint Associations Committee On Retail Structured Products Response To The Joint Forum Consultative Document: Point Of Sale Disclosure In The insurance, Banking And Securities Sector

    Date 18/10/2013

    This paper responds to the Joint Forum Consultative Document: Point of Sale disclosure in the insurance,banking and securities sector (the “Consultation”) which has been prepared in order to identify and assess differences and gaps in regulatory approaches to Point of Sale (“POS”) disclosure in relation to investment or savings products in the insurance, banking and securities sectors. The Joint Associations Committee on Retail Structured Products (the “JAC”)1  welcomes the opportunity to comment on the recommendations and issues set out in the Consultation. We agree with and fully support the objective of enhancing consumer protection by providing guidance to regulators/supervisors that are considering developing or reviewingtheir POS disclosure requirements.

  • SEC Announces Fraud Charges Against Collateral Manager Of CDO

    Date 18/10/2013

    The Securities and Exchange Commission today announced charges against a Morristown, N.J.-based investment advisory firm and its owner for misleading investors in a collateralized debt obligation (CDO) and breaching their fiduciary duties.

  • TSX Markets Top 20 Largest Consolidated Short Position Report - October 15, 2013

    Date 18/10/2013

    Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending October 15, 2013.

  • ESMA Publishes Signed AIFMD Cooperation Agreements

    Date 18/10/2013

    The European Securities and Markets Authority (ESMA) has published a table showing the state of play of Memoranda of Understanding (MoUs) signed by EU national supervisors. ESMA had negotiated the template MoUs regarding the Alternative Investment Fund Directive (AIFMD) with non-EU regulators around the globe. The AIFMD MoUs allow the exchange of information between EU and non-EU supervisors thus enabling non-EU fund managers to market alternative funds within the European Union. The AIFMD covers hedge funds, private equity and real estate funds.