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Remarks Of Assistant Treasury Secretary For Financial Institutions Cyrus Amir-Mokri To The FINRA Investor Education Foundation

Date 29/05/2013

Thank you, Rick, for inviting me to be here and for leading FINRA's efforts in the important area of financial capability. I am privileged to stand here on behalf of Treasury with Chairman White, Director Cordray, and others across the government, academia, and the private sector who share Treasury's commitment to promoting the financial well-being of Americans. Secretary Lew also sends his congratulations and thanks.
The Autorité Des Marchés Financiers Publishes A Guide For Investment Management Companies On The Impact Of The European Regulation On Clearing OTC Derivatives

Date 29/05/2013

With the aim of helping investment management companies fulfil their obligations under the European regulation on over-the-counter derivatives, central counterparties and trade repositories (EMIR), the AMF has published a guide explaining the implications of this new framework.
CME Group Announces Treasury Futures Trading Volume Record - Interest Rate Complex Experienced Second Highest Volume Day Overall

Date 29/05/2013

CME Group, the world's leading and most diverse derivatives marketplace, today announced a record in daily trading volume for its Treasury futures complex on Tuesday, May 28, 2013. Total daily volume for Treasury futures reached 10,476,906 surpassing its previous record of 10,103,808 set on February 26, 2013.
World Federation Of Exchanges Reports On High Frequency Trading

Date 29/05/2013

The World Federation of Exchanges (WFE) today released a review on High Frequency Trading (HFT), describing it as a technology that financial firms are embracing around the world. Besides, the study notes the many initiatives and risk management practices that exchanges have adopted to enhance the safety, stability and integrity of the markets.
Richard G. Ketchum FINRA’s Chairman and Chief Executive Officer Remarks: National Financial Capability Study Release, George Washington University School of Business

Date 29/05/2013

Thank you, Doug [Guthrie], and thanks to everyone for joining us today. I am very excited to be here to release the findings of the 2012 National Financial Capability Study. And I'm equally excited to be doing so at George Washington University's Global Financial Literacy Excellence Center. The Center played a large role in this study and does tremendous work to improve financial capability in the U.S. and around the world.

CFTC Orders FCStone LLC To Pay A $1.5 Million Civil Monetary Penalty For Failing To Have Risk Controls, In Violation Of Supervision Obligations

Date 29/05/2013

The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against FCStone LLC, a Futures Commission Merchant (FCM) headquartered in New York, New York, for failing to diligently supervise its officers and employees relating to its business as an FCM in violation of Commission Regulation 166.3, 17 C.F.R. § 166.3 (2008). FCStone failed to implement adequate customer credit and concentration risk policies and controls in 2008 and part of 2009, allowing one account (Account) to acquire a massive options position that it could not afford to maintain. Ultimately, FCStone was forced to take over the Account, and lost approximately $127 million. The CFTC Order requires FCStone to pay a civil monetary penalty of $1.5 million, retain an independent consultant to review its internal controls and procedures, and cease and desist from violating its supervisory obligations.
SEC Charges Nasdaq For Failures During Facebook IPO

Date 29/05/2013

The Securities and Exchange Commission today charged NASDAQ with securities laws violations resulting from its poor systems and decision-making during the initial public offering (IPO) and secondary market trading of Facebook shares. NASDAQ has agreed to settle the SEC’s charges by paying a $10 million penalty – the largest ever against an exchange.
FINRA Foundation Releases Nation's State-By-State Financial Capability Survey - California, Massachusetts And New Jersey Most Financially Capable; Mississippi, Arkansas And Kentucky Near Bottom

Date 29/05/2013

The FINRA Investor Education Foundation (FINRA Foundation) today released the results of America'sState-by-State Financial Capability Survey. The survey findings are available at www.usfinancialcapability.org, which features a clickable map of the United States and allows the public, policymakers and researchers to delve into and compare the financial capabilities of Americans across all 50 states and the nation as a whole. The survey results were released today at an event featuring FINRA Foundation Chairman Richard Ketchum; U.S. Securities and Exchange Commission Chair Mary Jo White; Consumer Financial Protection Bureau Director Richard Cordray; Cyrus Amir-Mokri, Assistant Secretary for Financial Institutions, U.S. Department of the Treasury; and Stacey Stewart, U.S. President of United Way Worldwide.
Alexandre Zeller Elected Chairman Of The Board Of Directors Of SIX

Date 29/05/2013

At the general meeting of shareholders on 29 May 2013, Alexandre Zeller was elected the new Chairman of the Board of Directors of SIX. Alexandre Zeller has many years of management experience in national and international banking. He succeeds Prof. Peter Gomez, who after seven years as Chairman would like to once again devote himself more to publishing and academic projects.
Hong Kong's Securities and Futures Commission & Police Issue Joint Statement To Clarify Media Report - Hong Kong Mercantile Exchange

Date 29/05/2013

The Securities and Futures Commission (SFC) and the Commercial Crime Bureau (CCB) of the Hong Kong Police issue the following joint statement to clarify a media report published today (May 29).