News Centre

SEC Charges 23 Firms With Short Selling Violations In Crackdown On Potential Manipulation In Advance Of Stock Offerings

Date 17/09/2013

The Securities and Exchange Commission today announced enforcement actions against 23 firms for short selling violations as the agency increases its focus on preventing firms from improperly participating in public stock offerings after selling short those same stocks.  Such violations typically result in illicit profits for the firms.

London Stock Exchange Signs Up 1,000 New Users In First Month As Pre-LOU

Date 17/09/2013

• New LEI codes allocated across 3 continents
• Wide range of corporates represented
• New bulk LEI allocation functionality assists larger firms

Exchanges Take A Dive

Date 17/09/2013

The world’s leading stock exchanges took a dive in share value during August, following over a year of almost continued steady growth, according to the FTSE Mondo Visione Exchanges Index released today.

Chi-X Canada Introduces Retail Market Data Program

Date 17/09/2013

Chi-X® Canada ATS Limited, a wholly owned subsidiary of alternative trading venue operator Chi-X® Global Holdings LLC, today announced it has contracted with consulting firm NuPont Canada Ltd. to assist in its efforts to introduce a new market data offering aimed at retail investors.

Changes To Warsaw Stock Exchange Management Board Approved

Date 17/09/2013

• On 17 September 2013, the Polish Financial Supervision Authority approved changes to the Exchange Management Board whereby Dariusz Kułakowski was appointed Management Board Member.

FINRA Issues New Investor Alert: Private Placements - Evaluate The Risks Before Placing Them In Your Portfolio

Date 17/09/2013

The Financial Industry Regulatory Authority (FINRA) issued a new investor alert called Private Placements—Evaluate the Risks before Placing Them in Your Portfolio to caution investors that investing in private placements is risky and can tie up their money for a long time. A private placement is an offering of a company's securities that is not registered with the Securities and Exchange Commission (SEC) and is not offered to the public at large. Many private placements are offered pursuant to Regulation D of the Securities Act of 1933. In general, you must be an "accredited investor" to invest in a private placement.

CFTC Certifies Futures Contracts On The CES China 120 Index And The HSI Volatility Index Submitted By Hong Kong Futures Exchange Limited (HKFE) - Contracts May Be Offered To U.S. Persons Effective September 17, 2013

Date 17/09/2013

The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight issued a letter advising the Hong Kong Futures Exchange Limited (HKFE) that its CES China 120 Index futures contract and its HSI Volatility Index futures contract submitted for review on August 2, 2013 are deemed certified.

Finansinspektionen: Improved Transparency Around Mortgages

Date 17/09/2013

It should be easier for mortgage customers to understand what they are paying for. Finansinspektionen (FI) is proposing to the Government today that banks should clearly explain their interest rates to their customers and at the same time show the costs of the mortgage rates they are offering.

Treasury International Capital Data For July

Date 17/09/2013

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for July 2013.  The next release, which will report on data for August 2013, is scheduled for October 16, 2013.

Enhancements To Qatar Exchange Website Service

Date 17/09/2013

The Qatar Exchange is pleased to announce enhancements to data services provided through its website.