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Chicago-Based Floor Broker Craig Taffel Pays $180,000 Civil Monetary Penalty To Settle Charges That He Acted As An Unregistered Futures Commission Merchant
Date 26/08/2011
The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against Craig A. Taffel, a registered floor broker located in Chicago, Ill., for acting as a futures commission merchant (FCM) without being registered.
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Speech By Federal Reserve Chairman Bernanke On The Near- And Longer-Term Prospects For The U.S. Economy
Date 26/08/2011
Good morning. As always, thanks are due to the Federal Reserve Bank of Kansas City for organizing this conference. This year's topic, long-term economic growth, is indeed pertinent--as has so often been the case at this symposium in past years. In particular, the financial crisis and the subsequent slow recovery have caused some to question whether the United States, notwithstanding its long-term record of vigorous economic growth, might not now be facing a prolonged period of stagnation, regardless of its public policy choices. Might not the very slow pace of economic expansion of the past few years, not only in the United States but also in a number of other advanced economies, morph into something far more long-lasting?
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Chicago Futures Commission Merchant Tenco, Inc. Settles CFTC Charges That It Failed To Diligently Supervise And Placed Trades Without Proper Authorization
Date 26/08/2011
The U.S. Commodity Futures Trading Commission (CFTC) today issued an order filing and simultaneously settling charges against Tenco, Inc. (Tenco), a registered futures commission merchant (FCM) located in Chicago, Ill., for failing to diligently supervise its employees and agents and for placing trades without proper authorization from the account holder.
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ESMA Publishes A Set Of Questions And Answers On European Money Market Funds
Date 26/08/2011
The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities.
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ESMA Publishes A Set Of Questions And Answers On European Money Market Funds
Date 26/08/2011
The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities.
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Hong Kong's Securities And Futures Commission: Former CITIC Pacific Senior Executive Charged With Insider Dealing
Date 26/08/2011
The Securities and Futures Commission (SFC) has commenced criminal proceedings against Mr Chui Wing Nin, a former senior executive of CITIC Pacific Limited (CITIC Pacific), for alleged insider dealing in the company’s shares prior to a profit warning issued in 2008.
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FIA Asks CFTC To Investigate Breach Of Confidentiality
Date 26/08/2011
The FIA submitted a letter to the Commodity Futures Trading Commission asking the agency to investigate whether any of its rules governing the handling of confidential data have been violated. Attached is a copy of the letter, which also was sent to the two Congressional committees that have jurisdiction over the CFTC. In the letter, the FIA expressed its very strong concern about the disclosure of confidential data about positions held by individual firms in the commodity derivatives markets in an article published in the Wall Street Journal on Aug. 18. The article, “As Oil Spiked, Many Traded,” stated that the data came from a list of position holders compiled by the CFTC. A member of Congress subsequently revealed that he provided this information to the newspaper. As stated in the letter, this incident “poses a serious threat to the confidence of market participants in the CFTC’s ability to protect proprietary information; raises troubling questions about the role of Congress in handling such information; jeopardizes the CFTC’s future ability to obtain cooperation in data collection and market surveillance; and undermines the agency’s ability to work cooperatively with its counterparts in overseas jurisdictions.”
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Deutsche Börse Publishes IPO Indicator For Q3 2011 - Mood Deteriorated On Primary Market
Date 26/08/2011
Deutsche Börse published the IPO sentiment indicator forecasting issue activity for the 3rd quarter of 2011 on Friday. The primary market indicator has fallen from 32.66 to 29.80 points, bringing it below 30 points for the first time since June 2009. This fall was triggered by a significant deterioration of the IPO climate, as Deutsche Börse’s survey of market participants showed.
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Malawi Stock Exchange Weekly Report - 26th August, 2011
Date 26/08/2011
Click here to download the Malawi Stock Exchange's weekly report.
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BATS-Chi-X Merger Inquiry Oral Evidence
Date 26/08/2011
Oral evidence from the BATS-Chi-X merger enquiry can be viewed at the links below.
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