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SEC: Zurich Financial Services, Converium Holding AG Settle Reinsurance Fraud Charges
Date 11/12/2008
The Securities and Exchange Commission today announced settled civil securities fraud charges against Zurich Financial Services and Converium Holding AG, now known as SCOR Holding (Switzerland) AG, relating to finite reinsurance transactions. The SEC's orders find that Zurich's former reinsurance group, which operated under the name Zurich Re and was later spun off in 2001 as Converium, designed three reinsurance transactions to make it appear that risk had been transferred to third-par
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CFTC Seeks Public Comment On Proposed Rules To Expand Regulatory Authority Over Exempt Commercial Markets
Date 11/12/2008
The Commodity Futures Trading Commission requests public comment on rules and rule amendments that increase the oversight of Exempt Commercial Markets (ECMs) as directed by the CFTC Reauthorization Act of 2008. ECMs are lesser-regulated electronic trading facilities that allow institutional participants to trade exempt over-the-counter commodities such as energy swaps.
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Oxfordshire Businessman Fined £35,000 For Lying About FSA Authorisation
Date 11/12/2008
An Oxfordshire businessman, Mr Mayson Shanti of Marcham, Abingdon has been fined £35,000 by Didcot Magistrate's Court for falsely claiming that his company, Chase Capital Finance Limited (Chase Capital), was authorised by the Financial Services Authority (FSA). This is the first time that the FSA has prosecuted an individual for falsely claiming to be authorised.
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Successful Debut For NYSE Euronext’s Universal Trading Platform - First Migration Onto Superfast, High-Capacity Platform
Date 11/12/2008
NYSE Euronext (NYX) this week successfully migrated its European Bond products onto its new Universal Trading Platform, representing the first significant milestone in the platform’s roll-out.
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Former Fidelity Employees To Pay More Than $1 Million To Settle SEC Charges For Improperly Accepting Lavish Gifts Paid For By Brokers
Date 11/12/2008
The Securities and Exchange Commission today announced settlements of an enforcement action against eight former employees of Fidelity Investments' equity trading desk, who will collectively pay more than $1 million to settle SEC charges for improperly receiving travel, entertainment, and gifts paid for by outside brokers courting business from Fidelity.
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Program Trading Averaged 33.8 Percent Of NYSE Volume During Dec. 1-5
Date 11/12/2008
The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data submitted by its member firms. The report includes trading in all markets as reported to the NYSE for Dec. 1-5.
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SEC Finalizes ARS Settlements With Citigroup And UBS, Providing Nearly $30 Billion In Liquidity To Investors
Date 11/12/2008
The Securities and Exchange Commission today finalized settlements with Citigroup Global Markets, Inc. (Citi) and UBS Securities LLC and UBS Financial Services, Inc. (UBS) that will provide nearly $30 billion to tens of thousands of customers who invested in auction rate securities before the market for those securities froze in February.
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November 2008 Performance Review Of The Dow Jones Hedge Fund Strategy Benchmarks - A Monthly Report From Dow Jones Indexes On The Performance Of The Dow Jones Hedge Fund Strategy Benchmarks
Date 11/12/2008
Only one of four strategies in the Dow Jones Hedge Fund Strategy Benchmarks posted net-of-fee gains in November.
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Summary Of FESE Member Exchanges Statistics For November 2008
Date 11/12/2008
During the month of November 2008, almost 60 million electronic order book (EOB) equity trades were done on FESE Members with a value of 631 billion EUR. This means a 46% decrease compared to the previous month.
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IntercontinentalExchange Sets Date Of February 10 For Fourth Quarter And Year-End 2008 Earnings Release
Date 11/12/2008
IntercontinentalExchange (NYSE: ICE), a leading operator of regulated global futures exchanges and over-the-counter (OTC) markets, will announce fourth quarter and year-end 2008 financial results on Tuesday, February 10, 2009. An earnings press release will be issued prior to the earnings conference call, which will begin at 8:30 a.m. ET.
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