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ASX Compliance Monthly Activity Report – July 2013

Date 06/08/2013

Click here to download ASX's compliance monthly activity report for July 2013.

Thailand Focus 2013 To Highlight Connecting Regional Markets

Date 06/08/2013

The Stock Exchange of Thailand (SET), together with Phatra Securities pcl, and Bank of America Merrill Lynch, will hold “Thailand Focus 2013” during August 28-30 at the Grand Hyatt Erawan Hotel, Bangkok, under the theme “Connecting to New Investment Frontiers,” enabling investors globally to get insights of Thailand’s economy, investment, and government policy. This year, stock exchanges and listed companies in the Greater Mekong Sub-region (GMS) will also present their growth potentials.

Tokyo Commodity Exchange July 2013 Volume Averaged 100,524 Contracts Per Day, Down 7%

Date 06/08/2013

The Tokyo Commodity Exchange (TOCOM) announced today that July 2013 trading volume averaged 100,524 contracts per day, down 7% from June 2013. Average daily volume fell in its most active commodities such as Gold, down 12.8% to 47,716 contracts; Platinum, down 24.4% to 15,100 contracts; and Crude Oil, which was down 22.8% to 3,507 contracts.

Bloomberg Integrates Margin Calculator For Swap Participants - Institutional Investors Gain Added Transparency And Efficiency Using LCH.Clearnet’s Tool On The Bloomberg Professional Service As Swap Regulatory Mandates Take Effect

Date 06/08/2013

To gain transparency and efficiency in today’s increasingly complex regulatory environment, Bloomberg Professional service subscribers can now access a derivatives margin calculator developed by LCH.Clearnet, Bloomberg announced today.

BM&FBOVESPA Publishes July Market Performance

Date 06/08/2013

“Cowboy Company”- Speech Of CFTC Commissioner Bart Chilton To The Amcot 2013 Business Conference, Lake Tahoe, California - Hey Yeah, Hold Your Horses!

Date 06/08/2013

Hey yeah! Much obliged for the introduction. It sure is a fine thing to spend a spell with all you good folks in this pretty part of the American West. I always get a little “giddy-up” when dealing with cooperatives, so it’s a great treat to be with each of you.

NASDAQ OMX July 2013 Volumes

Date 06/08/2013

The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ) today reported monthly volumes for July 2013, on its investor relations website. A data sheet showing the monthly volumes can be found at: http://ir.nasdaqomx.com/monthly-reporting/.

IntercontinentalExchange And Leading Credit Market Participants Establish ICE Swap Trade - Citi, Morgan Stanley, Societe Generale, And UBS To Support ICE Swap Trade Platform

Date 05/08/2013

IntercontinentalExchange (NYSE: ICE), a leading operator of global markets and clearing houses, announced that several leading market participants will support the development of markets on ICE Swap Trade, ICE's credit default swap (CDS) execution facility that is expected to be introduced in the third quarter of 2013.

ESMA - Updated EMIR Q&A

Date 05/08/2013

Questions and Answers: Implementation of the Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR)

Document reference 2013/1080

FINRA Fines Oppenheimer & Co., Inc. $1.4 Million For Sale Of Unregistered Penny Stocks And Anti-Money Laundering Violations

Date 05/08/2013

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer and Co., Inc. $1,425,000 for the sale of unregistered penny stock shares and for failing to have an adequate anti-money laundering (AML) compliance program to detect and report suspicious penny stock transactions. Oppenheimer is also required to retain an independent consultant to conduct a comprehensive review of the adequacy of Oppenheimer's penny stock and AML policies, systems and procedures. Oppenheimer agreed to the sanctions to resolve charges first brought against the firm in a FINRA complaint in May 2013.