FTSE Mondo Visione Exchanges Index:
News Centre
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CFTC’s Division Of Market Oversight Provides Time-Limited No-Action Relief To Provide Certain Exemptive Relief Consistent With The Expiring July 2012 Exemptive Order
Date 11/12/2012
The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today announced the issuance of a time-limited no-action letter providing temporary no-action relief consistent with the intent to preserve the regulatory status quo with respect to transactions and persons described in certain paragraphs of the Commission’s expiring Second Amendment to July 14, 2011 Order (due to expire on December 31, 2012) and the conditions thereto, by permitting transactions and relevant persons to continue to operate in compliance with various CEA exemptive and excluding provisions in place prior to July 16, 2011, subject to, among other conditions, various anti-fraud and anti-manipulation prohibitions.
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UK’s Financial Services Authority Requires Action Of The HSBC Group
Date 11/12/2012
The Financial Services Authority (FSA), as lead regulator for the HSBC Group globally, is taking action in relation to issues in respect of HSBC’s compliance with anti-money laundering rules and US sanctions requirements. The FSA has worked closely with the relevant US authorities and this action is separate to, but coordinated with the actions taken by them.
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U.S. Treasury Department Reaches Landmark Settlement With HSBC - Combined Federal, Local, International Action Marks Largest Bank Settlement In U.S. History
Date 11/12/2012
The U.S. Department of the Treasury today announced settlements amounting to $875 million – the largest collective settlement in the department’s history – with HSBC Holdings plc (together with its affiliates, HSBC). The Treasury Department’s collective settlement, reached by the Financial Crimes Enforcement Network (FinCEN), the Office of the Comptroller of the Currency (OCC), and the Office of Foreign Assets Control (OFAC) is part of the combined federal, local, and international government action that amounted to the largest bank settlement in U.S. history. In total, more than $1.9 billion were assessed in penalties for HSBC’s conduct in violation of the Bank Secrecy Act (BSA) and U.S. sanctions.
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FTSE MIB Index Quarterly Review
Date 11/12/2012
The FTSE Italia Index Policy Committee has approved the following changes to the FTSE MIB Index which will become effective after the close of business on Friday, 21 December 2012 (i.e. on Thursday, 27 December 2012).
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Jennifer Mchugh Named Senior Advisor In SEC’s Division Of Investment Management
Date 11/12/2012
The Securities and Exchange Commission today announced that Jennifer B. McHugh has been named Senior Advisor to the Director in its Division of Investment Management.
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Bahamas International Securities Exchange January To September 2012 Statistical Report
Date 11/12/2012
BISX is pleased to announce its BISX All-Share Index and trading statistics for the nine month period ending September 30, 2012 with comparison to the same period of 2011.
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CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Relief For Certain Futures Commission Merchants Concerning Annual Reports Of Chief Compliance Officers
Date 11/12/2012
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter that provides certain futures commission merchants (FCMs) with limited relief surrounding the requirement that chief compliance officers of such FCMs prepare and submit an Annual Report, pursuant to Commission Regulation 3.3.
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Swedish Financial Supervisory Authority (Finansinspektionen) Withdraws The Authorisation Of Fundior Finans Och Försäkring AB
Date 11/12/2012
The insurance intermediary Fundior Finans och Försäkring AB has had several serious deficiencies in its operations. Amongst other factors, the company has neglected important customer protection rules. Finansinspektionen (FI) is therefore withdrawing the authorisation.
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Athens Exchange Monthly Statistical Bulletin November 2012
Date 11/12/2012
Please click here to download the ATHEX monthly statistic Bulletin.
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BATS Exchange Welcomes Proshares ETF - Becomes Second ETF Family To List Products On BATS Exchange
Date 11/12/2012
BATS Global Markets (BATS), a leading operator of securities markets in the U.S. and Europe, today announced that ProShares, a premier provider of alternative exchange traded funds (ETFs), will list the ProShares Merger ETF on BATS Exchange.
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