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Swiss Asset Management Firm And Related Companies Agree To Resolve Criminal Tax Investigation -The Swisspartners Group Is Paying $4.4 Million In Forfeiture And Restitution

Date 09/05/2014

James M. Cole, the Deputy Attorney General of the Department of Justice, Kathryn Keneally, the Assistant Attorney General for the Tax Division of the Department of Justice, Preet Bharara, the United States Attorney for the Southern District of New York, and Richard Weber, the Chief of the Internal Revenue Service, Criminal Investigation (IRS-CI), announced today that swisspartners Investment Network AG, a Swiss-based asset management firm, and three of its wholly-owned subsidiaries (collectively, the Swisspartners Group), entered into a non-prosecution agreement (NPA) with the U.S. Attorney’s Office for the Southern District of New York and agreed to pay $4.4 million to the United States. The NPA was entered into based on, among other things, the Swisspartners Group’s remedial measures, voluntary self-reporting and extraordinary cooperation, including its voluntary production of approximately 110 client files for non-compliant U.S.-taxpayer clients, and provides that the Swisspartners Group will not be criminally prosecuted for assisting U.S. taxpayer-clients in opening and maintaining undeclared foreign bank accounts from in or about 2001 through in or about 2011. The NPA requires the Swisspartners Group to forfeit $3.5 million to the United States, representing certain fees that it earned by assisting its U.S. taxpayer-clients in opening and maintaining these undeclared accounts, and to pay $900,000 in restitution to the IRS, representing the approximate amount of unpaid taxes arising from the tax evasion by the Swisspartners Group’s U.S. taxpayer-clients. The NPA applies only to the four specific entities that are party to it and does not apply to any other subsidiaries of swisspartners Investment Network AG or any individuals.
BATS 1000 Index Down Slighlty This Week

Date 09/05/2014

BATS Global Markets, a leading operator of securities markets in the U.S. and Europe, reports the BATS 1000® Index (Ticker: BATSK) was down 42.36 points, or 0.2%, this week to close at 21,185.83 as of the 4 p.m. ET market close today.
NYSE Group Inc. Issues Short Interest Report

Date 09/05/2014

The NYSE Group, Inc. today reported short interest as of the close of business on the settlement date of April 30, 2014.
NASDAQ Announces End-Of-Month Open Short Interest Positions In NASDAQ Stocks As Of Settlement Date April 30, 2014

Date 09/05/2014

At the end of the settlement date of April 30, 2014, short interest in 2,187 NASDAQ Global MarketSM securities totaled 7,621,693,707 shares compared with 7,668,806,586 shares in 2,184 Global Market issues reported for the prior settlement date of April 15, 2014. The end-of-April short interest represents 4.09 days average daily NASDAQ Global Market share volume for the reporting period, compared with 3.70 days for the prior reporting period.
NYSE MKT Issues Short Interest Report

Date 09/05/2014

NYSE MKT (formerly known as NYSE Amex) today reported short interest as of the close of business on the settlement date of April 30, 2014.

CFTC Commitments f Traders Reports Update

Date 09/05/2014

The current reports for the week of April 29, 2014 are now available.
BOX Options Exchange Tops Half A Billion Dollars In Cumulative Savings To Investors - Price Improved Contracts Jumped 38%

Date 09/05/2014

The BOX Options Exchange (BOX) announced yesterday it has achieved half a billion dollars in savings for investors through its price improvement period (PIP). April was also an impressive month in BOX’s history with price improved contracts averaging 300,510 per day, which represented a 38% increase over the same period last year.
CFTC’s Global Markets Advisory Committee To Meet May 21, 2014 - Agenda Items Include Foreign-Based Swaps, Clearinghouses And Swaps Execution Facilities

Date 09/05/2014

The U.S. Commodity Futures Trading Commission (CFTC) Acting Chairman Mark P. Wetjen announced today that he will convene a meeting of the CFTC Global Markets Advisory Committee (GMAC) on Wednesday, May 21, 2014 to discuss issues related to the CFTC’s coordination with foreign regulators on the oversight of foreign-based swap clearinghouses and foreign swaps execution facilities.
Remarks At The 46th Annual Rocky Mountain Securities Conference, SEC Commissioner Daniel M. Gallagher, Denver, CO, May 9, 2014

Date 09/05/2014

Thank you, Julie [Lutz], for that kind introduction. I’m very pleased to be here today, and I’m proud to say that this will be my fourth time addressing this conference, the last three as a Commissioner. I am always happy to visit Denver, in large part given the presence of a key SEC regional office here. I am a big supporter of our regional offices, and I am very pleased to report that yesterday I made good on my oath to visit all of our offices when I made it to Fort Worth. Now I will try to pull off second visits before the end of my term.
CFTC Issues Notice Of Temporary Registration As A Swap Execution Facility To ICAP Global Derivatives Limited

Date 09/05/2014

The U.S. Commodity Futures Trading Commission (CFTC or Commission) today approved the application of ICAP Global Derivatives Limited (IGDL) for temporary registration as a swap execution facility (SEF). IGDL is a private limited company registered in the United Kingdom and is a wholly-owned subsidiary of ICAP Holdings (UK) Limited, a private limited company registered in the United Kingdom.