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CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues Amended No-Action Letter On The Pay-To-Play Rules For Swap Dealers Conducting Business With Certain Governmental Special Entities

Date 29/11/2012

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued an amended no-action letter addressing the pay-to-play rules applicable to swap dealers who conduct business with certain governmental special entities. The letter has been amended from the original version that was issued on November 20, 2012.
CME Group Announces Trading Volume Record For Its Gold Futures Contracts

Date 29/11/2012

CME Group, the world's leading and most diverse derivatives marketplace, today announced a record in daily trading volume for COMEX Gold Futures. These contracts are listed by and subject to the rules of COMEX.
AFP Habitat Selects Princeton Financial Systems 92 MIG21 Compliance Platform

Date 29/11/2012

Princeton Financial AE Systems, a solution provider to the global investment industry, today announced Administradora de Fondos de Pensiones (AFP) Habitat S.A, the second largest pension fund in Chile's private pension system, selected MIG21 AE for its investment compliance needs. Partnering with Gesintel, a risk and compliance solutions provider for Chilean and Latin America based firms; Princeton Financial will provide AFP Habitat with the compliance system of choice for seven of the world's ten largest global custodians.
SEC Names Todd K. Scharf As Chief Information Security Officer And Associate Director In Its Office Of Information Technology

Date 29/11/2012

The Securities and Exchange Commission today announced that it has named Todd K. Scharf, Sr. as Chief Information Security Officer and Associate Director in the agency’s Office of Information Technology.
CFTC: Federal Court In New York Orders Marc Perlman And iGlobal Strategic Management, LLC To Pay Over $2 Million For Solicitation Fraud And Misappropriation Involving Off-Exchange Foreign Currency And A Commodity Pool Ponzi Scheme

Date 29/11/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Barbara S. Jones of the U.S. District Court for the Southern District of New York entered a default judgment and permanent injunction order against defendants Marc Perlman of Rancho Cucamonga, Calif., and his firm, iGlobal Strategic Management, LLC (iGlobal). The order stems from a CFTC complaint filed on August 28, 2012, charging the defendants with operating a commodity pool Ponzi scheme that fraudulently solicited and accepted at least $670,000 from at least 17 people — largely persons from the deaf community (see CFTC Press Release 6339-12).

Borsa Italiana: Corporate Governance Committee: New Entries - Stewardship Code And Monitoring As Planned Activities For 2013

Date 29/11/2012

In a meeting held today at Borsa Italiana’s headquarters, the Italian Corporate Governance Committee examined the report on the activities undertaken in the last year, including meetings and seminars aimed at promoting the new Corporate Governance Code. The report also contains a summary of a comparative study, with reference to the most relevant European countries, concerning the nature of their corporate governance committees and the practices in place for the monitoring of the application of the codes. The report is available on the Borsa Italiana website.
BME Appoints Javier Hernani Managing Director

Date 29/11/2012

The Board of Directors of BME agreed during a meeting held today, to appoint Javier Hernani Burzako as Managing Director of the company. The appointment was made following a report by the Nomination and Remuneration Committee and at the request of the Chairman, and is conditional upon approval by the Spanish stock market regulator, the CNMV.
SEC Charges Two Brokers With Insider Trading Ahead Of IBM-SPSS Merger For $1 Million Profit

Date 29/11/2012

The Securities and Exchange Commission today charged two retail brokers who formerly worked at a Connecticut-based broker-dealer with insider trading on nonpublic information ahead of IBM Corporation’s acquisition of SPSS Inc.
Josh Rucci Joins Bloomberg As Global Head Of Content Sales - Rucci To Oversee Sales Of News, Photos, Video And Other Products

Date 29/11/2012

Bloomberg today announced that Josh Rucci, former senior executive at Getty Images, has joined Bloomberg Media Group as global head of content sales. In the newly formed position, Rucci is responsible for sales of news, photos, video and other products to newspapers, magazines, broadcasters and online publishers around the world. Bloomberg’s diverse content includes business, finance, politics, technology, luxury and other key verticals. Rucci is based in London and reports to Susan Vobejda, general manager of Bloomberg Media Licensing and Distribution.
SEC Charges Chicago-Based Investment Adviser With Defrauding Investors In Failing Private Equity Fund

Date 29/11/2012

The Securities and Exchange Commission today charged a Chicago-based investment adviser and his firm with defrauding clients and others who were promised returns that would “beat the market” for investing in a private equity fund they managed. What investors didn’t know was the fund was failing and they were being used to raise money to repay promissory notes to earlier investors.