News Centre

CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Relief Regarding The Treatment Of Swap Transactions By Certain Non-U.S. Persons, For Purposes Of Making Calculations Under The Swap Dealer Definition

Date 17/10/2013

The U.S. Commodity Futures Trading Commission’s (Commission’s) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides relief for certain non-U.S. persons that are not guaranteed or conduit affiliates of U.S. persons with respect to counting for purposes of the de minimis calculation.

S&P Dow Jones Indices Announces Changes To The S&P/TSX Canadian Indices - A Deletion From The S&P/TSX Venture Composite Index

Date 17/10/2013

S&P Dow Jones Canadian Index Services will make the following changes in the S&P/TSX Canadian Indices:

A Plan of Arrangement between Afferro Mining Inc. (TSXVN:AFF) and International Mining and Infrastructure Corp. plc (LSE:IMIC) has been approved. 

CFTC’s Division Of Market Oversight Provides No-Action Relief To Applicant Seeking Temporary Registration As A Swap Execution Facility - Time-Limited No Action Relief Provided To LatAm SEF, LLC Pending Consideration Of Application

Date 17/10/2013

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today announced the issuance of a no-action letter providing time-limited relief for LatAm SEF, LLC (LatAm). DMO will not recommend that the CFTC take enforcement action against LatAm for failure to register as a swap execution facility (SEF) under Section 5h(a)(1) of the Commodity Exchange Act (Act) or CFTC Regulation 37.3(a)(1), or against any market participants for use of, or other relationships with, LatAm, based on LatAm’s failure to register as a SEF.

Keynote Address By CFTC Commissioner Scott D. O'Malia, Edison Electric Institute CFTC Compliance Forum, Washington, DC

Date 17/10/2013

The topic of today's conference is "Compliance and Implementation Issues." I must say such a topic gives us plenty of room to have a wide-ranging discussion, as there are so many questions and concerns regarding industry compliance and on-going implementation.

Program Trading Averaged 25.6 Percent Of NYSE Volume During Oct. 7-11

Date 17/10/2013

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database.  The report includes trading on the NYSE for Oct. 7-11.

CFTC Announcement Concerning Commitments Of Trader And Cotton On Call Reports

Date 17/10/2013

The U.S. Commodity Futures Trading Commission’s (CFTC) announced today that the Commitments of Traders and Cotton on Call reports previously scheduled for release on October 17^th and October 18^th respectively, will not be published this week. The CFTC is performing the work necessary to resume publishing these and other reports and will announce a revised schedule once more information becomes available.

Laying Myths To Rest: Speech By Martin Wheatley, Chief Executive Of The FCA, At The British Bankers’ Association Annual International Conference, London

Date 17/10/2013

Good regulation will be one of the most important drivers of long-term growth and prosperity.

European Parliament Television Video Analysis On The Effects Of FTT

Date 17/10/2013

The European Parliament Television publishes a video on FTT featuring MEP Anni Podimata and FESE Director General Judith Hardt among others.

MarketAxess Appoints Jane Chwick To Board Of Directors

Date 17/10/2013

MarketAxess Holdings Inc. (Nasdaq: MKTX) the operator of a leading electronic trading platform for fixed-income securities, and the provider of market data and post-trade services for the global fixed-income markets, has confirmed the appointment of Jane Chwick to its Board of Directors.

SEC Halts Pyramid Scheme Targeting Asian-American Community

Date 17/10/2013

The Securities and Exchange Commission today announced charges and asset freezes against the operators and promoters of a worldwide pyramid scheme that falsely promises exponential, risk-free returns to investors in a venture that purportedly sells Internet-based children’s educational courses.