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Japan Exchange Tops League Table For Third Consecutive Month - FTSE Mondo Visione Exchanges Index Up Two Per Cent In April

Date 17/05/2013

Japan Exchange, listed on the FTSE Mondo Visione Exchanges Index in February, has topped the Index for the third consecutive month, signalling strong performance in share price value and one to watch as the Japan economy shows signs of growth.
NZX IPO Masterclass Presentation

Date 17/05/2013

NZX hosted an IPO Masterclass in Christchurch on May 14th. The presentation slides are attached.
SEC Charges Chicago-Area Father And Son Conducted Cherry-Picking Scheme At Investment Firm

Date 16/05/2013

The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations.
CFTC: Federal Court In Florida Orders Defendants Philip Milton And Trade, LLC, And Four Relief Defendants To Pay Millions In Restitution, Disgorgement, And Civil Monetary Penalties For Operating A $28.4 Million Ponzi Scheme

Date 16/05/2013

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Daniel Hurley of the U.S. District Court for the Southern District of Florida entered supplemental consent Orders against Defendants Philip Milton of Palm Beach Gardens, Florida, and Trade, LLC, based in Palm Spring Gardens, Florida, requiring Milton to pay restitution of more than $10.8 million and a $7.6 civil monetary penalty and Trade, LLC, to pay restitution of over $11.4 million and a $28.4 million civil monetary penalty for operating a multi-million dollar Ponzi commodity pool scheme (see CFTC Press Release 5848-10 , July 6, 2010).
SIFMA Statement On House Ways And Means Subcommittee Hearing On U.S.-EU Transatlantic Trade And Investment Partnership

Date 16/05/2013

SIFMA today released the following statement from Acting President and CEO Kenneth E. Bentsen, Jr., for the House Ways and Means Subcommittee on Trade held a hearing to discuss the prospects for a U.S.-EU trade and investment partnership.

CFTC: Federal Court Orders Spencer Montgomery, Brian Reynolds, Arjent Capital Markets LLC, And Chicago Trading Managers LLC To Pay More Than $1.8 Million For Commodity Pool Fraud

Date 16/05/2013

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Lewis A. Kaplan of the U.S. District Court for the Southern District of New York entered a consent judgment and permanent injunction Order against Defendants Spencer Montgomery and Brian Reynolds, and a default judgment and permanent injunction Order against Defendants Arjent Capital Markets LLC (Arjent) and Chicago Trading Managers LLC (CT Managers), for defrauding pool participants by knowingly issuing or causing to be issued false account statements for commodity pools. The Orders require Montgomery and Reynolds each to pay a $140,000 civil monetary penalty, Arjent and CT Managers jointly to pay a $1.4 million civil monetary penalty, and Arjent to pay an additional $140,000 civil monetary penalty. The Orders further impose permanent trading and registration bans on all the Defendants and prohibit them from violating the Commodity Exchange Act (CEA), as charged.
SIFMA Strongly Disagrees With CFTC’s Final SEF Rules

Date 16/05/2013

SIFMA today released the following statements after the Commodity Futures Trading Commission (CFTC) voted on final rules governing swap execution facilities (SEFs).
Statement By CFTC Commissioner Scott D. O’Malia To Opening Meeting To Discuss Swap Execution Facility Rules, Swap Block Rules, Made Available To Trade Determination And Disruptive Trade Guidance

Date 16/05/2013

Mr. Chairman, thank you for calling this meeting to finalize the critical suite of rules regarding swap execution. Adoption of these rules will bring the Commission in compliance with three of the four principles agreed to by the G-20 nations who finalized the Pittsburgh Communique on September 25, 2009.
EU Emissions Trading System: Emissions Trading: 2012 Saw Continuing Decline In Emissions But Growing Surplus Of Allowances

Date 16/05/2013

Emissions of greenhouse gases from installations participating in the EU Emissions Trading System (EU ETS) decreased by 2% last year, according to the information recorded in the Union Registry.
Statement Of CFTC Chairman Gary Gensler To Open Commission Meeting For Consideration Of Rules Implementing The Dodd-Frank Act

Date 16/05/2013

Good morning. This meeting will come to order. This is a public meeting of the Commodity Futures Trading Commission (CFTC). I’d like to welcome members of the public, market participants and members of the media, as well as those listening to the meeting on the phone or watching the webcast.