News Centre

ASX Compliance Monthly Activity Report - February 2013

Date 05/03/2013

New listings for the month were China Integrated Media Corporation Limited (CIK), NAOS Emerging Opportunities Company Limited (NCC), Perpetual Resources Limited (PEC) and Talon Petroleum Limited (TPD). 

New Members Of MEFF

Date 04/03/2013

MEFF Board has approved the following Members:

• Citadel Global Trading Sàrl, Proprietary Non-Clearing Member, Luxembourg
• Caja Rural de Castilla La Mancha SCC, Clearing Member, Toledo

Remarks Of CFTC Chairman Gary Gensler Before The Institute Of International Bankers

Date 04/03/2013

Good morning. Thank you, Rich, for that kind introduction.  I also want to thank Sally Miller and the Institute of International Bankers (IIB) for the invitation to speak at your annual Washington conference.

SEC Issues Risk Alert And Investor Bulletin On Investment Adviser Custody Rule

Date 04/03/2013

The Securities and Exchange Commission today issued a Risk Alert on compliance with its custody rule for investment advisers and it also issued an Investor Bulletin about the rule, which is designed to protect advisory clients from theft or misuse of their funds and securities.

TMX Group Patron Sponsor Of Prospectors And Developers Association Of Canada's International Convention 2013 - Toronto Stock Exchange And TSX Venture Exchange Speaking At Key Financial Events

Date 04/03/2013

TMX Group Limited, the world-leading mining exchange group, is patron sponsor of this year's Prospectors and Developers Association of Canada's (PDAC) International Convention, Trade Show & Investors Exchange, being held from March 3 to 6, 2013.

IOSCO Publishes Principles of Liquidity Risk Management For CIS

Date 04/03/2013

The International Organization of Securities Commissions published today the final report on Principles of Liquidity Risk Management for Collective Investment Schemes, which contains a set of principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning liquidity risk management for collective investment schemes (CIS).

Setup Of EUA Auctions Completed For All 24 Member States - Czech Republic’s Admission To Transitional Common Auction Platform Finished – Czech Republic’s Second NER Auction To Be Held On 20 March – Flemish NER Auctions Determined

Date 04/03/2013

Today, the Czech Republic’s auctioneer for the common EU platform (OTE, a.s.) has been admitted to European Energy Exchange (EEX). This means that the admission process for all 24 EU Member States participating in the transitional common auction platform has now been completed.

FINRA Fines Ameriprise And Clearing Firm $750,000 For Failing To Supervise Transmittal Of Customer Funds To Third-Party Accounts

Date 04/03/2013

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Ameriprise Financial Services, Inc. and its affiliated clearing firm, American Enterprise Investment Services Inc. (AEIS), $750,000 for failing to have reasonable supervisory systems in place to monitor wire transfer requests and the transmittal of customer funds to third-party accounts.

CBOE Futures Exchange: Trading Volume In VIX Futures Reaches New All-Time High For Second Consecutive Month

Date 04/03/2013

• Average Daily Volume Gains 141% Year-Over-Year
• Total Volume Tops Three Million Contracts For First Time

Portware Wins Best Buy-Side EMS

Date 04/03/2013

Portware, the leading provider of global, multi-asset trading solutions, today announced that Markets Media has recognized Portware with the prestigious 2013 Market’s Choice Award for Best Buy-Side Execution Management System (EMS).