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SEC Charges Brokerage Firm Co-Owners With Defrauding Investors

Date 20/05/2015

The Securities and Exchange Commission today announced fraud charges against the co-owners of a Manhattan-based brokerage firm.
CBOE To Develop Hedge Fund Benchmarks With Eurekahedge - Indexes To Measure Performance Of Hedge Funds That Use Volatility-Based Investment Strategies

Date 20/05/2015

Chicago Board Options Exchange® (CBOE®) today announced it has entered into an agreement with Eurekahedge, a hedge-fund research and data collection company, to collaborate on the development of a series of new benchmark indexes that will measure the performance of hedge funds that use volatility-based investment strategies.
EnterNext Celebrates 10th Anniversary Of Alternext Paris

Date 20/05/2015

To celebrate Alternext’s Paris 10th anniversary, EnterNext, the Euronext subsidiary dedicated to promoting and growing the market for small and medium-sized companies, invited listed companies, advisors and investors to a ceremony at the close of trading. Speakers reviewed achievements over the ten years since Alternext Paris was first created to give small and medium-sized businesses easier access to the financing they need.
Statement At Open Meeting On Investment Company And Investment Adviser Reporting Modernization By SEC Commissioner Michael S. Piwowar

Date 20/05/2015

Thank you, Chair White.
And thanks to the staff who worked so hard to develop these rulemakings. These are Dave Grim’s first rulemakings as Director of Investment Management, and I want to congratulate him on his well-deserved appointment. These proposals are the result of a very collaborative and thoughtful process, and one that future rulemakings hopefully emulate.
Real-Time Derivatives Market Data From TOM Is Now Available Free Of Charge For All Retail Clients Of Interactive Brokers, Lynx And Today’s Groep

Date 20/05/2015

As of today all retail clients of Interactive Brokers, Lynx and Today’s Groep will have free access to real-time derivatives market data of TOM MTF. ABN AMRO Bank and BinckBank currently do not charge separate costs for this market data access.

Statement At Open Meeting On Modernizing And Enhancing Investment Company And Investment Adviser Reporting By SEC Commissioner Daniel M. Gallagher

Date 20/05/2015

Thank you, Chair White. And thank you to the staff from the Division of Investment Management (“IM”) who worked so diligently on today’s proposing releases, in particular Dave Grim, Diane Blizzard, Sara Cortes, Dan Chang, Matt DeLesDernier, Jay Krawitz, Andrea Magovern, Michael Pawluk, Dan Kahl, Sarah Buescher, and Bridget Farrell. And I would be remiss if I did not mention, as Chair White did earlier, the Herculean efforts of former IM Director Norm Champ in crafting the conceptual framework for today’s proposals. Thanks as well to staff from IM’s Risk and Examinations Office, the Division of Economic and Risk Analysis, and the Office of the General Counsel.
EBA Issues Guidance On The Implementation Of Resolution Tools

Date 20/05/2015

The European Banking Authority (EBA) published three sets of final Guidelines aimed at facilitating the implementation of resolution tools in the banking sector across the EU. These Guidelines, which stem from the EU Bank Recovery and Resolution Directive (BRRD), foster convergence on resolution matters by giving detailed guidance to EU Resolution Authorities on the circumstances they should assess when taking their resolution decisions.
USA Department Of Justice, Office Of Public Affairs: Five Major Banks Agree to Parent-Level Guilty Pleas

Date 20/05/2015

Five major banks – Citicorp, JPMorgan Chase & Co., Barclays PLC, The Royal Bank of Scotland plc and UBS AG – have agreed to plead guilty to felony charges. Citicorp, JPMorgan Chase & Co., Barclays PLC, and The Royal Bank of Scotland plc have agreed to plead guilty to conspiring to manipulate the price of U.S. dollars and euros exchanged in the foreign currency exchange (FX) spot market and the banks have agreed to pay criminal fines totaling more than $2.5 billion. A fifth bank, UBS AG, has agreed to plead guilty to manipulating the London Interbank Offered Rate (LIBOR) and other benchmark interest rates and pay a $203 million criminal penalty, after breaching its December 2012 non-prosecution agreement resolving the LIBOR investigation.
MGEX Adds Wells Fargo Securities, LLC As A New Clearing Member

Date 20/05/2015

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), and Wells Fargo & Company are pleased to announce that Wells Fargo Securities, LLC has joined as MGEX’s newest clearing member.
Effective Regulatory Oversight And Investor Protection Requires Better Information By SEC Commissioner Luis A. Aguilar

Date 20/05/2015

It is said that, “knowledge is power.” Knowledge, however, requires information. And there is no doubt we live in an age of information. The advent of the Internet and the breathtaking technological advances we have witnessed over the last few decades have given us access to more information than at any time in history. The available data seems to be limitless—and all available at the touch of a fingertip.