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Mark K. Schonfeld, Director Of New York Regional Office, Leaving After 12 Years Of Service At SEC

Date 11/09/2008

The Securities and Exchange Commission today announced that Mark K. Schonfeld, the Director of the New York Regional Office, will conclude 12 years of dedicated service when he leaves the agency at the end of September to become a partner at the law firm of Gibson, Dunn & Crutcher, where he will be co-head of the Securities Enforcement Defense practice and a member of the White Collar Defense, Investigations and Crisis Management practices.
Charlie McCreevy, European Commissioner For Internal Market: Cross-border Banking Groups Supervision, EUROFI Conference, Nice, 11 September 2008

Date 11/09/2008

Supervision of cross-border Banking Groups has been discussed at length over the last couple of years. The first step was the adoption of the CRD in 2006 with an innovative regime for model validation. The powers of the consolidating supervisors were significantly increased. This has been very effective for supervisory cooperation. For some groups, colleges of supervisors have been established. Pushing the debate further, the Commission organised a conference on supervisory ar
Thailand Futures Exchange Welcomes New Brokers And Reschedules Product Launches

Date 11/09/2008

Thailand Futures Exchange PCL (TFEX) welcomes nine new members who will start trading on September 22. The exchange also reschedules its new products launches-single stock futures in November 2008 and gold futures in early 2009.
SuperDerivatives Boosts Strategic Sales Team With The Appointment Of Leading Derivatives Systems Implementation Expert

Date 11/09/2008

SuperDerivatives, the benchmark for derivatives and the world’s leading derivatives solution provider, has strengthened its global team with the appointment of leading financial systems implementation expert, Zohar Hod.
SEC Charges LPL Financial For Failing To Protect Customer Privacy

Date 11/09/2008

The Securities and Exchange Commission today took an enforcement action against LPL Financial Corporation for failing to adopt policies and procedures to safeguard their customers' personal information, leaving at least 10,000 customers vulnerable to identity theft following a series of hacking incidents involving LPL's online trading platform.

Program Trading Averaged 20.6 Percent Of NYSE Volume During Sept. 2-5

Date 11/09/2008

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data submitted by its member firms. The report includes trading in all markets as reported to the NYSE for Sept. 2-5.
Early Open On Sunday For Dubai Mercantile Exchange Products Due To Hurricane Ike

Date 11/09/2008

Click here to download details of the early open on Sunday for DME products owing to Hurricane Ike.
EUROFI: Is The EU Funds Industry Up To The Challenges Ahead? - Greater Efficiency And Support To Innovation Are Required To Build A More Competitive European Funds Market

Date 11/09/2008

Investment funds and particularly UCITS funds represent an increasing proportion of the investments of European retail and institutional investors in Europe and UCITS funds are widely exported outside Europe eg in Asia or Latin America. Investment funds amount now to more than 7500 Bio € of assets under management, which have nearly doubled over the last 5 years. The proportion of cross-border transactions is also strongly increasing representing more than 20% of total volumes.
Marc Carletti To Leave SIX Group

Date 11/09/2008

Marc Carletti, a member of the Group Executive Board of SIX Group and CEO of its Financial Information division, has announced that he will leave the company. His is departing on his own volition. The Board of Directors and Group Executive Board of SIX Group regret his departure and extend their thanks for his services in building up SIX Group and managing SIX Telekurs. Both corporate bodies wish him all the best and great success in his future endeavours.
FINRA Bars Two Registered Representatives For Insider Trading

Date 11/09/2008

The Financial Industry Regulatory Authority (FINRA) today announced that two former registered representatives, Peter D. Kelly and Daniel K. Ivandjiiski, have been barred from the securities industry for insider trading.