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CFTC Commitments Of Traders Reports Update

Date 16/11/2015

The current reports for the week of November 10, 2015 are now available.
The MiG Report October 2015 - Brought To You By: The Market Intelligence Group, Toronto Stock Exchange, TSX Venture Exchange

Date 16/11/2015

Please click here for the October 2015 MiG Report.
Aequitas PTF Connect: The Next Evolution For Actively Managed Mutual Funds - A Shared Services Technology Platform Enabling Mutual Funds To Be Traded And Settled Like ETFs

Date 16/11/2015

Aequitas Connect, the innovation hub of Aequitas Innovations Inc., is excited to introduce Aequitas PTF Connect (PTF Connect): a next generation technology platform that, for the first time on an industry wide basis, will enable actively managed mutual funds to be traded and settled with the ease and efficiency of publicly-listed securities and exchange traded funds (ETFs). PTF Connect is a shared service and will be available to all mutual fund companies and IIROC dealer members in Canada.
FINRA Fines Scottrade $2.6 Million For Significant Failures In Required Electronic Records And Email Retention

Date 16/11/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it fined Scottrade, Inc. $2.6 million for failing to retain a large number of securities-related electronic records in the required format, and for failing to retain certain categories of outgoing emails. Scottrade also did not have a reasonable supervisory system in place to achieve compliance with certain Securities and Exchange Commission (SEC) and FINRA books and records rules, which contributed to its record-retention failures.
Electronic Payment Services: European Council Of The European Union Adopts Updated Rules

Date 16/11/2015

A directive aimed at further developing an EU-wide market for electronic payments was adopted by the Council on 16 November 2015.

CFTC Charges IB Capital FX, LLC, Michel Geurkink, And Emad Echadi With Soliciting At Least $50 Million From Members Of The Public For Forex Trading, Without Being Registered With The CFTC

Date 16/11/2015

The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint charging Defendants IB Capital FX, LLC (a/k/a IB Capital FX [NZ] LLP) d/b/a IB Capital (IB Capital), Michel Geurkink, and Emad Echadi, individually and as the agents of IB Capital, with soliciting and accepting at least $50 million from at least 960 clients worldwide, including at least 697 clients in the United States, for off-exchange margined retail foreign currency (forex) trading, without being registered with the CFTC, as required.
1st Annual CBOE Risk Management Conference Asia 2015 - Hong Kong Site Of Forum For Options, Equity Derivatives, Volatility Traders, November 30 – December 1

Date 16/11/2015

The Chicago Board Options Exchange® (CBOE®) and CBOE Futures Exchange (CFE®) will for the first time hold a CBOE Risk Management Conference (RMC) in Asia, on Monday, November 30 and Tuesday, December 1, 2015, at the JW Marriott Hotel in Hong Kong.
Shadow Banking: European Council Of The European Union Adopts Transparency Rules On Securities Financing Transactions

Date 16/11/2015

A regulation that will improve the transparency of securities lending and repurchase transactions was adopted by the Council on 16 November 2015.
Oman’s Ministry Of Oil And Gas Signs Up For “DME Auctions”

Date 16/11/2015

The Dubai Mercantile Exchange (DME) announced today that Oman’s Ministry of Oil and Gas has become the first customer of its recently launched “DME Auctions” platform. The news is a significant show of support for the first spot commodity auction system in the Middle East.
SEC: Mutual Fund Adviser Advertised False Performance Claims

Date 16/11/2015

The Securities and Exchange Commission today announced that a Hartford, Conn.-based investment management firm agreed to pay $16.5 million to settle charges that it misled mutual fund investors and others with advertisements containing false historical performance data about AlphaSector, a major exchange-traded fund (ETF) portfolio strategy.