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  • Deutsche Börse: Unscheduled Component Change In MDAX - Talanx To Replace Douglas Holding In MDAX - Constantin Medien To Remain In SDAX

    Date 07/12/2012

    Deutsche Börse today decided on unscheduled changes in MDAX. Due to the takeover of Douglas Holding by Beauty Holding Three AG, the free-float of Douglas Holding dropped below 10 percent. The company therefore no longer meets the minimum free-float criteria of the index.

  • CFTC’s Division Of Swap Dealer And Intermediary Oversight Provides No-Action Relief To Swap Dealers And Major Swap Participants From Compliance With Statutory Disqualification Prohibition With Respect To Their Association With Certain Persons

    Date 07/12/2012

    The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) announced the issuance of limited no-action relief to Swap Dealers and Major Swap Participants (collectively, Swap Entities) from compliance with the prohibition in Regulation 23.22(b) against permitting a person who is subject to a statutory disqualification to effect or be involved in effecting swaps on behalf of the Swap Entity. The Division issued this relief with respect to: (1) non-domestic associated persons (APs) of Swap Entities who deal only with non-domestic swap counterparties; and (2) persons employed in a clerical or ministerial capacity (Employees) by Swap Entities. As the Division explains in the letter, the purpose of this relief is to align the treatment of these APs and Employees with the treatment of all other APs and Employees under the Commodity Exchange Act and the CFTC’s regulations.

  • SEC Charges Prominent Entrepreneur In Miami-Based Scheme

    Date 07/12/2012

    The Securities and Exchange Commission today charged a prominent Miami-based entrepreneur with defrauding investors by grossly exaggerating the financial success of his company that purportedly produced housing materials to withstand fires and hurricanes. Claudio Osorio stole nearly half of the money raised from investors to pay the mortgage on his multi-million dollar mansion and other lavish highlife expenses.

  • Commissioner Bart Chilton Concurring In part And Dissenting In Part To The Settlement In The Matter Of Goldman, Sachs & Co., Respondent, CFTC Commissioner Bart Chilton

    Date 07/12/2012

    While I concur in the terms of the settlement in this matter with regard to the findings of violations, the undertakings to improve deficient compliance systems and procedures, and the imposition of a cease and desist order, I respectfully dissent as to the amount of the civil monetary penalty (CMP). In this instance, given the egregious nature of the failure to supervise adequately, combined with the high number of violative transactions, I believe that the monetary penalty should be significantly higher in order to represent a sufficient punishment, as well as to denote a meaningful deterrent to future illegal activity.

  • BM&FBOVESPA Announces November Market Performance

    Date 07/12/2012

    BM&FBOVESPA announced November 2012 market performance. Check the highlights:

    • After Market turns over BRL 1.6 billion, the highest volume since October 2009
    • Real Estate Funds handle second consecutive record at BRL 452.47 million in 33,150 transactions.
    • Number of individual investor accounts in the stock market at 594,117 in November, up almost 4% on October