News Centre

Tokyo Stock Exchange: Approval Of Initial Listing (TOKYO PRO-BOND Market): List USD-Denominated Foreign Bond With Value Of USD 500 Million (Japan Finance Organization For Municipalities)

Date 05/02/2016

Today, Tokyo Stock Exchange approved USD-denominated bonds with a total value of USD 500 million (tenor: 5 years, coupon: 2.125%) from Japan Finance Organization for Municipalities for listing on the professional-oriented TOKYO PRO-BOND Market.

CME Clearing: Performance Bond Requirements: Energy, Agriculture, Interest Rates, FX, Metals, Environmental And New Product Margins - Effective 02/05/16

Date 05/02/2016

As per the normal review of market volatility to ensure adequate collateral coverage, the Chicago Mercantile Exchange Inc., Clearing House Risk Management staff approved the performance bond requirements for the following products listed in the advisory at the link below.

US Department Of Justice: Criminal Charges Filed Against Bank Julius Baer Of Switzerland With Deferred Prosecution Agreement Requiring Payment Of $547 Million, As Well As Guilty Pleas Of Two Julius Baer Bankers - Bank Admits To Helping U.S. Taxpayer-Clients Hide Billions Of Dollars In Offshore Accounts - Bankers Daniela Casadei And Fabio Frazzetto, Fugitives Since 2011, Surrender And Plead Guilty To Felony Tax Charges

Date 05/02/2016

Acting Assistant Attorney General Caroline D. Ciraolo of the Justice Department’s Tax Division, U.S. Attorney Preet Bharara of the Southern District of New York, and Chief Richard Weber of the Internal Revenue Service – Criminal Investigation, (IRS-CI), announced the filing of criminal charges against Bank Julius Baer & Co. Ltd. (Julius Baer or the company), a financial institution headquartered in Zurich, Switzerland.   Julius Baer is charged with conspiring with many of its U.S. taxpayer-clients and others to help U.S. taxpayers hide billions of dollars in offshore accounts from the IRS and to evade U.S. taxes on the income earned in those accounts. 

Nasdaq January 2016 Volumes

Date 05/02/2016

Nasdaq (Nasdaq:NDAQ) today reported monthly volumes for January 2016, on its investor relations website. 

MIAX Options: PLMM Assignments For February 5, 2016

Date 04/02/2016

Please be advised that the Primary Lead Market Maker (PLMM) roles in the option classes listed below will be re-assigned to the following firms effective for trading Friday, February 5, 2016.

British Columbia Securities Commission Announces New Enforcement And Capital Markets Regulation Directors

Date 04/02/2016

The British Columbia Securities Commission (BCSC) yesterday announced the appointments of Peter Brady as Director of Enforcement, and Mark Wang as Director of Capital Markets Regulation.

SEC: Miami Firm Broke Anti-Money Laundering Protocols

Date 04/02/2016

The Securities and Exchange Commission today announced that a Miami-based brokerage firm agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign entities to buy and sell securities without verifying the identities of the non-U.S. citizens who beneficially owned them.

Federal Court In Florida Orders Restitution, A Civil Monetary Penalty, And Permanent Injunction Against Robert Tripode For Engaging In Fraud In Connection With Forex

Date 04/02/2016

The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal court in Fort Lauderdale, Florida, issued a Consent Order against Defendant Robert Tripode of Boynton Beach, Florida, in connection with his fraudulent activities as an employee and agent of Forex Monthly Income Fund (FMIF), a commodity pool based in Miami, Florida. The Order requires Tripode to pay a civil monetary penalty totaling $170,716.01 and restitution of the same amount. The Order also imposes permanent trading and registration bans on Tripode and prohibits him from further violations of the Commodity Exchange Act and CFTC Regulations, as charged.

Independence, Confidence And Fairness - Speech By Tracey McDermott, Acting Chief Executive, FCA, Delivered At Bloomberg, In The City Of London, On 4 February 2016, London.

Date 04/02/2016

Thank you. And let me thank Bloomberg for the opportunity to speak today.

This is, as you know, a critical period for the UK’s financial sector.

We are just a few weeks away from implementing one of the most important reforms in financial services since the crisis – the Senior Managers Regime.

CFTC Commissioner J. Christopher Giancarlo Releases Podcast About 6 Mega-Trends Facing 21st Century Financial Markets

Date 04/02/2016

Today, Commissioner J. Christopher Giancarlo released a Podcast about 6 “mega-trends” facing 21st century financial markets. The podcast released today closely follows the guest lecture he provided on December 1, 2015, at Harvard Law School as part of the Fidelity Guest Lecture Series on International Finance.