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SEC Charges Financial Media Company And Executives Involved In Accounting Fraud

Date 18/12/2012

The Securities and Exchange Commission today charged a digital financial media company and three executives for their roles in an accounting fraud that artificially inflated company revenues and misstated operating income to investors.
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Letter On The Obligation Of Swap Dealers And Major Swap Participants To Provide The Pre-Trade Mid-Market Mark For Certain Credit Default Swaps And Interest Rate Swaps

Date 18/12/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides swap dealers and major swap participants with relief from the requirement to disclose the pre-trade mid-market mark to counterparties in certain credit default swaps and interest rate swaps that are identified in the no-action letter (Covered Derivative Transactions).
Irish Stock Exchange Statistics November 2012

Date 18/12/2012

Please click here for the November 2012 ISE monthly statistical report.
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues Time-Limited No-Action Relief Regarding The Treatment Of Swap Transactions On Natural Gas Exchange For Purposes Of Making Calculations Under The Swap Dealer Definition

Date 18/12/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a time-limited no-action letter that provides relief for swaps transacted on Natural Gas Exchange (NGX), with respect to the treatment of such swaps in the calculation of a person’s aggregate gross notional amount of swap dealing activity.
Irish Stock Exchange Statistics Q3 2012

Date 18/12/2012

Please note the Irish Stock Exchange (ISE) has published revised summary data on its website regarding trading in Irish Government securities for 2011 and 2012. Please find attached a link to the September 2012 quarterly statistical report.

“Enforcement Priorities In The Alternative Space” By Bruce Karpati, Chief, SEC Enforcement Division's Asset Management Unit, Before The Regulatory Compliance Association, New York, N.Y.

Date 18/12/2012

Thank you to the Regulatory Compliance Association for having me here today. I am grateful for the opportunity to speak about current hedge fund enforcement priorities. Let me start by saying that my comments here today are mine and mine alone, and do not represent the views of the SEC, the Commissioners, or the staff.
FTSE JSE Weekly Market Wrap As At 14 December 2012

Date 18/12/2012

Click here to download a weekly snapshot of the performance of FTSE/JSE's flagship indices within the FTSE/JSE AfricaIndex Series.
TOM MTF Trades 2nd Millionth Contract

Date 18/12/2012

TOM MTF is proud to announce that after trading our first millionth option contract on 10 October 2012, today only 2 months later it has traded its second millionth option contract!
Another Lithuanian Company Newly Listed On The WSE - AB INTER RAO Lietuva Is The 51st Foreign Listing And The 7th Foreign Company Newly Listed On The WSE In 2012 - The Energy Company Is The Third Lithuanian Listing On The Warsaw Stock Exchange

Date 18/12/2012

AB INTER RAO Lietuva is the 43rd foreign issuer listed on the WSE’s Main Market and the 5th foreign company newly listed on the market in 2012. The issuer is also the 437th company listed on the Main Market and the 18th new listing on the market in 2012.
CFTC’s Division Of Clearing And Risk Issues No-Action Letter For Japan Securities Clearing Corporation And Its Clearing Participants

Date 18/12/2012

The Commodity Futures Trading Commission’s (Commission) Division of Clearing and Risk (DCR) today issued a letter stating that DCR will not recommend that the Commission take enforcement action against Japan Securities Clearing Corporation (JSCC) for failing to register as a derivatives clearing organization (DCO) under section 5b(a) of the Commodity Exchange Act (CEA). The letter also states that DCR will not recommend enforcement action against JSCC’s qualified clearing participants, or a parent or affiliate of a JSCC qualified clearing participant, for failing to clear yen-denominated interest rate swaps subject to the Commission’s clearing requirement under section 2(h)(1)(A) of the CEA through a registered DCO.