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SEC Charges Hedge Fund Firm Sigma Capital With Insider Trading

Date 15/03/2013

The Securities and Exchange Commission today announced that New York-based hedge fund advisory firm Sigma Capital Management has agreed to pay nearly $14 million to settle charges that the firm engaged in insider trading based on nonpublic information obtained through one of its analysts about the quarterly earnings of Dell and Nvidia Corporation.
ISE Weekly Listings - Mini Options

Date 15/03/2013

The International Securities Exchange will list mini options classes during on March 18, 2013 as described below.
From Our Man In Boca, Tom Groenfeldt: Competition In Clearing At FIA Boca

Date 15/03/2013

Whether planned, accidental or alphabetical based on last names, it was probably fortunate that the FIA Boca panel on clearing placed Michael Bodson, CEO of the DTCC at the opposite end of the stage from Kim Taylor, president of CME Clearing. Their views do tend to diverge.
SEC Issues Guidance Update On Social Media Filings By Investment Companies

Date 15/03/2013

The Securities and Exchange Commission today published a guidance update from its staff to clarify the obligations of mutual funds and other investment companies to seek review of materials posted on their social media sites.
JPMorgan Chase Whale Trades: A Case History Of Derivatives Risks And Abuses Majority And Minority Staff Report - Permanent Subcommittee On Investigations United States Senate Released In Conjunction With The Permanent Subcommittee On Investigations March 15, 2013 Hearing, Senator Carl Levin Chairman Senator John McCain, Ranking Minority Member

Date 15/03/2013

JPMorgan Chase & Company is the largest financial holding company in the United States, with $2.4 trillion in assets. It is also the largest derivatives dealer in the world and the largest single participant in world credit derivatives markets. Its principal bank subsidiary, JPMorgan Chase Bank, is the largest U.S. bank. JPMorgan Chase has consistently portrayed itself as an expert in risk management with a “fortress balance sheet” that ensures taxpayers have nothing to fear from its banking activities, including its extensive dealing in derivatives. But in early 2012, the bank’s Chief Investment Office (CIO), which is charged with managing $350 billion in excess deposits, placed a massive bet on a complex set of synthetic credit derivatives that, in 2012, lost at least $6.2 billion.

SEC Charges San Diego Lawyers And Others In An International Market Manipulation Scheme

Date 15/03/2013

The Securities and Exchange Commission today charged a group of Canadian stock promoters, two San Diego attorneys, a Bahamas-based broker-dealer, and other participants in an international “pump-and-dump” scheme involving two publicly traded U.S. companies, Pacific Blue Energy Corporation and Tradeshow Marketing Company Ltd.
IMF Assessment Of Financial Stability In Europe: Much Achieved To Address The Crisis But Vulnerabilities Remain And Intensified Efforts Needed

Date 15/03/2013

In its first-ever overall assessment of the soundness and stability of the European Union’s financial sector, under its Financial Sector Assessment Program (FSAP), International Monetary Fund (IMF) says that much has been achieved to address financial crisis in Europe but vulnerabilities remain and intensified efforts are needed across a wide front.
TOM MTF Statistics Week 11

Date 15/03/2013

Click here to download the weekly statistics update of TOM MTF for week 11 - 2013.
Moscow Exchange Announces The Results Of Stabilisation

Date 15/03/2013

OJSC Moscow Exchange MICEX-RTS ("Moscow Exchange" or the "Company") announces that the stabilisation period following its initial public offering ended today. VTB Capital acted as stabilising manager on behalf of the bookrunners.
First Derivatives: Launch Of Swap Execution Facility Initiative And Appointment Of James Sanders As Chief Compliance Officer

Date 15/03/2013

First Derivatives plc (AIM: FDP.L, ESM: GYQ.I), a leading provider of software and consulting services to the capital markets industry, announces the launch of its Swap Execution Facility (SEF) initiative and the appointment of James Sanders as Chief Compliance Officer to oversee the Company’s registration as a SEF.