News Centre

EEX: Gunvor International B.V. Discloses Insider Information

Date 23/07/2015

On 24 June 2015, Gunvor International B.V. technically connected to the EEX Transparency Platform and will disclose any insider information in accordance with article 4 paragraph 1 of REMIT in respect of the business through the platform’s Ad-hoc Ticker.

CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues A Letter To Certain Registered Commodity Trading Advisors Exempting Them from Filing Form CTA-PR

Date 23/07/2015

The U.S. Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) announced today that it has issued a letter that exempts commodity trading advisors (CTAs) that are registered but do not direct any client commodity interest accounts from filing Commission Form CTA-PR.

SEC: Former Oppenheimer Employees Settle Charges Involving Unregistered Sales Of Penny Stocks

Date 23/07/2015

The Securities and Exchange Commission today announced that three former employees of Oppenheimer & Co. Inc. have agreed to settle charges stemming from the unregistered sales of billions of shares of penny stocks on behalf of a customer.  The actions involve a portion of the conduct announced in January in a settled enforcement action against Oppenheimer in which the broker-dealer admitted wrongdoing and paid $20 million to the SEC and the Treasury Department’s Financial Crimes Enforcement Network.

Keynote Address: CFTC Chairman Timothy G. Massad Before The District Of Columbia Bar (Washington, DC)

Date 23/07/2015

Introduction

Good afternoon. I am delighted to be here today. I thank Diana for that kind introduction. And I want to thank the DC Bar Association for coordinating today’s event.

This week was the fifth anniversary of the Dodd-Frank Act. This legislation brought fundamental – and much needed – reform to the regulation of banking and financial markets, including the derivatives markets. So today I would like to review the progress we have made in implementing the reforms of the derivatives markets. And I will discuss some of the top priorities we have for the months ahead.

Saudi Arabia’s Capital Market Authority Announces The Referral Of A Suspicion Of Violating Article (49) Of The Capital Market Law And Article (2) Of The Market Conduct Regulations To The Bureau Of Investigation And Public Prosecution

Date 23/07/2015

As part of the Capital Market Authority’s efforts to protect citizens and investors from unfair and unsound practices involving cheating, fraud and manipulation and as part of its efforts to ensure transparency and justice on securities business, and based on Article (17) of the Capital Market Law, CMA would like to inform the investors and participants in the Capital Market that a CMA Board resolution was issued to refer a suspicion of a violation to the Bureau of Investigation and Public Prosecution. An investor was suspected of violating Article (49) of the Capital Market Law and Article (2) of the Market Conduct while trading the shares of some listed companies.
To review the securities and the dates on which the suspected trading occurred, Click Here . 

TMX Group Civic Holiday Market Closures

Date 23/07/2015

Toronto Stock Exchange, TSX Venture Exchange, TMX Select, Alpha and Montreal Exchange will be closed on Monday, August 3, 2015 for the Civic Holiday.

Pearson To Sell FT Group To Nikkei Inc.

Date 23/07/2015

Pearson is today announcing that it has agreed the sale of FT Group to Nikkei Inc. for a gross consideration of £844 million, payable in cash.

STOXX Monthly Newsletter - July 2015

Date 23/07/2015

Click here to download the latest issue of the STOXX Montly Newsletter.

Monetary Authority Of Singapore Enhances Safeguards For The Sale Of Financial Products At Retailers And Public Places

Date 23/07/2015

The Monetary Authority of Singapore (MAS) today published a consultation paper outlining measures to safeguard consumers’ interests when buying financial products and services at retailers and public places.

Hong Kong's Securities And Futures Commission: EY’s Appeal Over Audit Working Papers Discontinued

Date 23/07/2015

EY has discontinued its appeal against court orders compelling production to the Securities and Futures Commission (SFC) of specified accounting records in its possession.