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ASIC: ICAP Futures (Australia) Pty Ltd Pays $50,000 iInfringement Notice Penalty

Date 14/05/2015

ICAP Futures (Australia) Pty Ltd (ICAP)has paid a total penalty of $50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The MDP  found it had reason to believe that ICAP had contravened section 798H(1) of the Corporations Act on three occasions by failing to comply with certain ASIC (ASX24) market integrity rules.

Keynote Address Of CFTC Commissioner J. Christopher Giancarlo Before The EnergyRisk Summit USA: Houston, TX - “The CFTC’s Proposed Position Limits Regime: Are U.S. Energy Markets At Risk?”

Date 14/05/2015

Introduction

Good morning ladies and gentlemen. Thank you for your warm welcome.

Before I begin, let me say that my remarks reflect my own views and do not necessarily constitute the views of the Commodity Futures Trading Commission (CFTC), my fellow CFTC Commissioners or of the CFTC staff.

Thank you to EnergyRisk for inviting me to speak today. It is a pleasure to attend this conference that brings together so many important participants in the North American energy markets. I have read EnergyRisk for many years now. It is a consistently well-informed and insightful perspective on the constant evolution of the energy trading markets.

CFTC’s Global Markets Advisory Committee Releases Agenda For Upcoming Public Meeting

Date 14/05/2015

The U.S. Commodity Futures Trading Commission (CFTC) today released the agenda for the upcoming Global Markets Advisory Committee (GMAC) public meeting that will be held on May 14, 2015 at CFTC’s headquarters in Washington, D.C. [See CFTC Release 7163-15 for attending, viewing and listening instructions.]

FINRA Fines Morgan Stanley $2 Million For Short Interest Reporting And Short Sale Rule Violations

Date 13/05/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley & Co. LLC $2 million for short interest reporting and short sale rule violations that spanned a period of more than six years, and for failing to implement a supervisory system reasonably designed to detect and prevent such violations.

Private Equity: A Look Back And A Glimpse Ahead, Marc Wyatt, Acting Director, SEC Office Of Compliance Inspections And Examinations, New York, May 13, 2015

Date 13/05/2015

I. Introduction

Good morning and thank you very much for the kind introduction.

Before I begin, I’ll remind you that the Securities and Exchange Commission (“SEC or Commission”) disclaims responsibility for any statement or private publication by any of its employees, including me. The views expressed here are my own and do not necessarily reflect the views of the Commission, the Commissioners, or of other members of the staff.

Alberta Securities Commission Sanctions Edmund Shimoon For Making An Untrue Statement To ASC Staff

Date 13/05/2015

The Alberta Securities Commission (ASC) has ordered Edmund Shimoon to pay an administrative penalty of $25,000 and investigation and hearing costs of $7,500 after he was found to have breached Alberta securities laws by making an untrue statement to ASC staff in the course of their investigation.

CFTC Swaps Report Update

Date 13/05/2015

CFTC's Weekly Swaps Report has been updated, and is now available.

Optimizing Our Equity Market Structure, Opening Remarks At The Inaugural Meeting Of The Equity Market Structure Advisory Committee, SEC Chair Mary Jo White, May 13, 2015

Date 13/05/2015

I am pleased to welcome everyone to the inaugural meeting of the Equity Market Structure Advisory Committee. Maintaining and enhancing the high quality of the U.S. equity markets is one of the SEC’s most important responsibilities. This Committee’s work is an important part of that and will be of great assistance to the Commission as we continue our efforts to ensure that the equity markets optimally meet the needs of investors and public companies.

CME Group's Terry Duffy To Appear Before The U.S. Senate Committee On Agriculture, Nutrition & Forestry

Date 13/05/2015

CME Group Executive Chairman and President Terry Duffy will appear before the U.S. Senate Committee on Agriculture, Nutrition & Forestry on Thursday, May 14, to discuss Commodity Futures Trading Commission (CFTC) regulatory issues impacting end-users and market liquidity. 

Deutsche Börse: Annual General Meeting 2015

Date 13/05/2015