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NYSE Group Consolidated Short Interest Report
Date 27/01/2020
NYSE today reported short interest as of the close of business on the settlement date of January 15, 2020.
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CFTC Orders Commodity Pool Operator, CEO To Pay More Than $10 Million For Misleading Statements, Supervision Failures - Portfolio Manager Charged with Fraud
Date 27/01/2020
The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Catalyst Capital Advisors LLC, of Huntington, New York, and its CEO, Jerry Szilagyi, for materially misleading statements made by Catalyst and one of its portfolio managers, and for failing to implement an adequate supervisory system to prevent such misstatements. Separately, the CFTC charged the portfolio manager, Edward Walczak, of Madison, Wisconsin, with fraud in a complaint filed in the U.S. District Court for the Western District of Wisconsin.
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SEC Charges Portfolio Manager And Advisory Firm With Misrepresenting Risk In Mutual Fund
Date 27/01/2020
The Securities and Exchange Commission today announced charges against a New York-based investment adviser for misleading investors about the management of risk in a mutual fund. Catalyst Capital Advisors LLC (CCA) and its President and Chief Executive Officer, Jerry Szilagyi, agreed to pay a combined $10.5 million to settle the charges. The SEC also filed a complaint in federal district court in Madison, Wisconsin, against Senior Portfolio Manager, Edward Walczak, for fraudulently misrepresenting how he would manage risk for the fund.
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Registration Open For CFTC, Kansas State University’s AgCon2020 - CFTC, K-State Partner For Third Annual Agricultural Commodity Futures Conference
Date 27/01/2020
The Commodity Futures Trading Commission and the Center for Risk Management Education and Research at Kansas State University today announced that registration is open for the third annual Agricultural Commodity Futures Conference (AgCon2020). First held in 2017, the conference is scheduled for April 1-2 in Overland Park, Kansas. Register for AgCon2020 HERE.
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SEC Office Of Compliance Inspections And Examinations Publishes Observations On Cybersecurity And Resiliency Practices
Date 27/01/2020
The Securities and Exchange Commission Commission's Office of Compliance Inspections and Examinations (OCIE) today issued examination observations related to cybersecurity and operational resiliency practices taken by market participants.
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High-Level Debate On The Ambitious But Vague EUROPEAN GREEN DEAL: Will It Provide EU Citizens With Sustainable Value For Money?
Date 27/01/2020
The new President of the European Commission refers to the European Green Deal as “Europe’s man-on-moon moment”. BETTER FINANCE strongly supports the Green Deal, the most important shift in European energy policy we have seen in the last two decades. But since the devil is in the detail, it raises the question whether the proposed measures are enough to reach carbon neutrality by 2050 and provide sustainable value for money for EU citizens as pension savers and investors? As proven by the CMU (Capital Markets Union) Plan, ambitious long-term goals are easier to set than to fulfil….
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SSY Futures Ltd Arranges The First Options Trade In Mid Western Aluminium Delivery Premium
Date 27/01/2020
SSY Futures Ltd is pleased to announce that it has arranged the first trade in Mid Western Aluminium Delivery Premium options. The trade was for 250 metric tonnes per month of the contract for settlement basis the third quarter of 2020 against an index published by Platts. The call option has a strike of 17c per pound, and was at a premium of half a cent per pound.
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Deutsche Börse: Qontigo Combines Index And Analytics Expertise In STOXX Factor Indices
Date 27/01/2020
Qontigo has launched the STOXX Factor Index suite, bringing together the powerful indexing and analytics capabilities of Qontigo. The new STOXX Factor Index suite delivers more clarity to the market for factor investors by relying on the institutionally tested analytics of Axioma Factor Risk Models.
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Verhofstadt On Future EU-UK Relations: “We Should Be Ambitious”
Date 27/01/2020
Ahead of Wednesday’s vote on the withdrawal agreement, we talked to Parliament’s Brexit coordinator Guy Verhofstadt (Renew Europe, Belgium).
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OCC Receives SEC Approval Of New Capital Management Policy
Date 27/01/2020
OCC, the world's largest equity derivatives clearing organization, today announced that it received regulatory approval of its new capital management policy by the U.S. Securities and Exchange Commission (SEC).
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