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CFTC.Gov Commitments Of Traders Reports Update

Date 05/10/2012

The current reports for the week of October 2, 2012 are now available.
NGX Announces Its Cleared Energy Products Are Futures

Date 05/10/2012

Natural Gas Exchange Inc. (NGX), a wholly-owned subsidiary of TMX Group, today announces that its derivatives clearing organization (DCO) is clearing all NGX energy products as futures contracts under U.S. regulations. Changes to the regulation of exempt commercial markets (ECMs) resulting from the Dodd-Frank Act for the first time require identification of NGX's contracts as either futures or swaps. Clearing its energy products as futures contracts under U.S. regulations ensures NGX's continued compliance with U.S. requirements and brings Canadian and U.S. regulation into alignment.
Board Decisions Further Global Regulatory Reform And Strengthen IOSCO

Date 05/10/2012

The Board of the International Organization of Securities Commissions (IOSCO) met in Madrid this week to progress its current work agenda and set a path for future work. This was the Board’s first meeting since its creation at IOSCO’s Annual Conference in Beijing to give IOSCO a more efficient and inclusive structure.
TOM MTF Statistics Week 40

Date 05/10/2012

Click here to download the weekly statistics update of TOM MTF for week 40 - 2012.
SEC Charges Four Brokers With Defrauding Customers In $18.7 Million Scheme

Date 05/10/2012

The Securities and Exchange Commission today charged four brokers who formerly worked on the cash desk at a New York-based broker-dealer with illegally overcharging customers $18.7 million by using hidden markups and markdowns and secretly keeping portions of profitable customer trades.

UK's Financial Services Authority Bans Payments From Discretionary Investment Managers To Advisers

Date 05/10/2012

The Financial Services Authority (FSA) is consulting on a change to its adviser charging rules to ensure advisory firms do not receive any kick-back payments from discretionary investment managers in exchange for recommending their services. Under the Retail Distribution Review’s adviser charging rules, advisory firms should only be paid for the personal recommendations and related services they provide to their clients through the charge agreed with their client. They should not be remunerated by discretionary investment managers.
CFTC Releases Enforcement Division’s Annual Results - Agency Filed 102 Enforcement Actions, The Highest Number Of Cases Ever For The CFTC In One Year, Bringing The Two-Year Total To More Than 200 Actions

Date 05/10/2012

The Commodity Futures Trading Commission (CFTC) today announced that it filed 102 enforcement cases in fiscal year 2012 (FY 12). During the past two fiscal years, the Commission filed a total of 201 enforcement actions, representing a significant increase from past years. The Division of Enforcement (Division) also opened more than 350 new investigations in FY 12, among the highest annual count of new investigations in program history. In addition, the Division obtained orders imposing more than $585 million in sanctions, including orders imposing more than $416 million in civil monetary penalties and directing the payment of more than $169 million in restitution and disgorgement.
Malawi Stock Exchange Weekly Report

Date 05/10/2012

Please click here to download the MSE Weekly Report.
TOM Insight September 2012

Date 05/10/2012

Click here to download TOM’s September‘ 12 Insight, a document describing matching statistics on TOM MTF and savings made for the retail client by TOM Smart Execution.
IOSCO Publishes Principles For Oil Price Reporting Agencies

Date 05/10/2012

The Board of the International Organization of Securities Commissions has published today its final report on Principles for Oil Price Reporting Agencies (PRAs), which sets out principles intended to enhance the reliability of oil price assessments that are referenced in derivative contracts subject to regulation by IOSCO members.