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New York Attorney General Schneiderman Sues Credit Suisse For Fraudulent Residential Mortgage-Backed Securities - Lawsuit Charges Credit Suisse Misrepresented Loan Quality Review Process, Deceived Investors & Contributed To Mortgage Crisis - Continued Legal Action by State-Federal Residential Mortgage-Backed Securities Working Group - Schneiderman: Credit Suisse RMBS Trusts Incurred Billions In Losses And Will Be Held Accountable

Date 20/11/2012

Attorney General Eric T. Schneiderman today filed a Martin Act complaint against Credit Suisse Securities (USA) LLC and its affiliates for making fraudulent misrepresentations and omissions to promote the sale of residential mortgage-backed securities (RMBS) to investors. According to Attorney General Schneiderman’s lawsuit, Credit Suisse deceived investors as to the care with which they evaluated the quality of mortgage loans packaged into residential mortgage-backed securities prior to 2008. RMBS sponsored and underwritten by Credit Suisse in 2006 and 2007 have suffered losses of approximately $11.2 billion.
Lorraine Echavarria Named Associate Regional Director To Lead Enforcement Program In SEC’s Los Angeles Office

Date 20/11/2012

The Securities and Exchange Commission today announced that Lorraine B. Echavarria has been promoted to lead the Los Angeles Regional Office’s enforcement program as an Associate Regional Director.
S&P Dow Jones Indices, TMX Group Launch Preferred Share Laddered And Equal Weight Sector Indices - Indices Licensed To BMO Asset Management For The Development Of ETFs

Date 20/11/2012

S&P Dow Jones Indices and TMX Group Inc. announced today the launch of three new Canadian indices: the S&P/TSX Preferred Share Laddered index, the S&P/TSX Equal Weight Global Gold index and the S&P/TSX Equal Weight Industrials index. Each of the indices has been licensed by S&P Dow Jones Indices to BMO Asset Management for potential exchange traded products to be listed on Toronto Stock Exchange.
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Letter On The Pay-To-Play Rules For Swap Dealers Conducting Business With Certain Governmental Special Entities

Date 20/11/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter addressing the pay-to-play rules applicable to swap dealers who conduct business with certain governmental special entities.
SEC Sanctions Two Investment Advisers For Impeding Examinations

Date 20/11/2012

The Securities and Exchange Commission today sanctioned two investment advisory firms for impeding examinations conducted by SEC staff.

CFTC Orders Eagle Market Makers Inc. To Pay Over $223,000 In Penalties And Disgorgement To Settle Charges Of Violating Corn Futures Speculative Position Limits And Failing To Supervise Traders

Date 20/11/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Eagle Market Makers Inc. (Eagle) of Chicago, Illinois, agreed to pay a $220,000 civil monetary penalty and $3,475 in disgorgement to settle CFTC charges that it exceeded spot-month position limits in corn futures and failed to diligently supervise its traders. Eagle is currently registered with the CFTC as a Futures Commission Merchant, a Commodity Pool Operator, and a Commodity Trading Advisor, according to the order.
SEC Charges Hedge Fund Firm CR Intrinsic And Two Others In $276 Million Insider Trading Scheme Involving Alzheimer's Drug

Date 20/11/2012

The Securities and Exchange Commission today charged Stamford, Conn.-based hedge fund advisory firm CR Intrinsic Investors LLC and its former portfolio manager along with a medical consultant for an expert network firm for their roles in a $276 million insider trading scheme involving a clinical trial for an Alzheimer’s drug being jointly developed by two pharmaceutical companies. The illicit gains generated in this scheme make it the largest insider trading case ever charged by the SEC.
Montréal Exchange To Host 13th Annual CADC Conference

Date 20/11/2012

Montréal Exchange Inc., a wholly-owned subsidiary of TMX Group Limited and Canada’s national derivatives exchange, will host Canada’s Annual Derivatives Conference (CADC), in Québec City from November 28-30, 2012. Now in its 13th year, CADC focuses on topics and issues that are most relevant for the users of Canadian derivatives.
Warsaw Stock Exchange Decides To Make UTP Available On 15 April 2013

Date 20/11/2012

The Warsaw Stock Exchange has set 15 April 2013 as the first day of operation of the new trading system UTP. The WSE’s decision was based on the dialogue and consultations with all participants of the complex process which will result in the transition of the Polish capital market to the new technology.
VTLWaveNet Selected As An Accredited Connectivity Partner By London Stock Exchange Group

Date 20/11/2012

VTLWaveNet has been named an Accredited Connectivity Partner (ACP) by London Stock Exchange Group, operator of a broad range of international equity, bond and derivatives markets.