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Date 21/01/2015
New York Attorney General Eric T. Schneiderman Files Amended Complaint Against Barclays Capital Inc. And Barclays Plc. - Barclays Dark Pool Lawsuit May Widen - N.Y. AG Says Barclays Isn't Cooperating with Investigation
New York State Attorney General Eric Schneiderman said earlier today that he wants to expand his lawsuit accusing Barclays Plc of fraud in how it operated its U.S. dark pool.
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Date 21/01/2015
Statement From New York Attorney General Eric T. Schneiderman On The State Of The Union Address
Attorney General Eric T. Schneiderman today issued the following statement regarding President Barack Obama’s State of the Union address.
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Date 21/01/2015
CFTC Swaps Report Update
CFTC's Weekly Swaps Report has been updated, and is now available.
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Date 21/01/2015
Statement Of U.S. Commodity Futures Trading Commissioner Sharon Bowen Regarding Recent Activity In The Retail Foreign Exchange Markets
Commissioner Sharon Bowen of the Commodity Futures Trading Commission issued the following statement on the subject of last week’s activity in the retail foreign exchange markets:
It is ironic, that following the enactment of Dodd-Frank, the retail foreign exchange industry is the least regulated part of the derivatives industry. I am concerned that lower standards are putting this industry in a precarious position and placing retail foreign exchange investors unnecessarily at risk. These concerns were underscored by recent unsettling events involving financial difficulties at retail foreign exchange dealers following the Swiss National Bank’s policy change regarding the Swiss Franc.
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Date 21/01/2015
Introducing LedgerX: Bitcoin Options Exchange Awaiting CFTC Approval
As announced on 15 December, 2015, the U.S. Commodity Futures Trading Commission (CFTC) is asking for public comment on related applications submitted by LedgerX, LLC (LedgerX), for registration as a derivatives clearing organization and registration as a swap execution facility. LedgerX plans to list and clear fully collateralized, physically settled options on bitcoin. Comments should be submitted on or before January 30, 2015.
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Date 21/01/2015
CFTC: Federal Court Orders California-Based Defendants Bharat Adatia And His Companies, Lions Wealth Holdings, Lions Wealth Services, And 20/20 Precious Metals To Pay Over $5.3 Million In Monetary Sanctions For Multi-Million Dollar Fraudulent Precious Metals Scheme - Defendants Defrauded Customers Of More Than $2.3 Million In Connection With Illegal Off-Exchange Precious Metals Transactions
The U.S. Commodity Futures Trading Commission (CFTC) today announced that on January 16, 2015, Judge Josephine L. Staton of the U.S. District Court for the Central District of California entered a Consent Order for permanent injunction against Defendants Lions Wealth Holdings, Inc. and Lions Wealth Services, Inc. (collectively Lions Wealth), 20/20 Precious Metals, Inc. (20/20 Metals), and their principal Bharat Adatia (aka Brad Adatia) for fraudulently soliciting retail customers and prospective customers to enter into off-exchange trading of precious metals on a leveraged, margined or financed basis. Adatia resides in San Juan Capistrano, California. The Defendants were also charged in the CFTC Complaint with falsely representing that customers were purchasing actual physical metal and issuing false account statements, among other illegal conduct (see CFTC Press Release and Complaint 6729-13, September 30, 2013).
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Date 21/01/2015
Reuters And PERFORM Partner To Syndicate Sports Video News Services
Reuters, the world's largest international multimedia news agency, and PERFORM, one of the leading digital sports content groups, have unveiled a long-term global strategic partnership that will see the two companies syndicate and distribute content across their respective platforms.
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Date 21/01/2015
SEC Charges Investment Adviser And Manager In South Florida-Based Fraud
The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a scheme that raised more than $17 million since November 2013.
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Date 21/01/2015
KRX Signs MoU With Markit Ltd.
On January 19, 2015, Korea Exchange(KRX) and Markit Ltd. signed a Memorandum of Understanding(MoU) to build cooperative relationships and promote global competitiveness of over-the-counter(OTC) derivatives market in Korea
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Date 21/01/2015
Investment Management Director Norm Champ To Leave SEC
The Securities and Exchange Commission today announced that Norm Champ, Director of the Division of Investment Management, will leave the agency later this month after five years serving in senior leadership positions.
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