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CFTC Orders Six Financial Institutions To Pay Total Of More Than $6 Million For Reporting Failures - Agency Charges First Ever Violation Of Swap-Dealer Risk Management Regulations

Date 01/10/2019

The U.S. Commodity Futures Trading Commission today announced that it issued orders yesterday against HSBC Bank USA, N.A., Société Générale International Limited, The Northern Trust Company, NatWest Markets Plc, The Bank of New York Mellon, and PNC Bank, National Association for reporting failures. Société Générale International Limited and The Northern Trust Company were also charged with failing to supervise in connection with the reporting failures. HSBC was also charged with violating swap-dealer risk management regulations, the first time the Commission has brought such an action.
BOX Exchange: Update To Trade Detail File

Date 01/10/2019

On October 31, 2019, BOX Exchange LLC (“BOX”) will update the monthly and daily trade detail files
Bahamas International Securities Exchange: APD Limited Trading Parameters Expanded

Date 01/10/2019

The Bahamas International Securities Exchange Limited (BISX) wishes to notify BISX Broker-Dealer Members that the freeze parameters on the common shares of APD Limited (APD) traded on the Bahamas Automated Trading System (BATS) has been expanded from 20% to 30%. This change will take effect on Wednesday, 2 October 2019 at 10:00 am.
OCC September Cleared Volume Up 11.3 Percent – Highest September On Record

Date 01/10/2019

OCC, the world's largest equity derivatives clearing organization, announced today that total cleared contract volume in September reached 406,444,790 contracts, an 11.3 percent increase compared to last September, and the highest total volume for September on record. OCC's year-to-date average daily cleared contract volume is 19,741,303 down 2.3 percent compared to 2018's record-breaking pace.
BNP Paribas Asset Management Appoints David Vaillant As Global Head Of Finance, Strategy & Participations

Date 01/10/2019

BNP Paribas Asset Management (‘BNPP AM’) announces the appointment of David Vaillant as Global Head of Finance, Strategy & Participations. He succeeds Pascal Biville, Head of Strategy & Finance and Head of Affiliate Network, who has left the firm to pursue other opportunities.

Best September In History At MGEX

Date 01/10/2019

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports this past month as the best September in history at MGEX with a total exchange volume of 222,077 contracts. This month surpassed the previous record holder, September 2017, by over 50,000 contracts. Additionally, this past month broke into the monthly total exchange volume top-25 record book claiming the 23rd spot.
CFTC Orders CHS, Inc. To Pay $500,000 Penalty For Reporting Violations

Date 01/10/2019

The U.S. Commodity Futures Trading Commission announced today that an order filing and simultaneously settling charges against CHS, Inc. a cooperative corporation headquartered in Minnesota, for failing to submit accurate monthly CFTC Form 204 Reports regarding the composition of CHS’s fixed price cash corn and soybean purchases and sales. The order was entered on Monday, September 30, 2019. The order also charges CHS for violating the cease and desist provision of a 2016 CFTC order [See Release No. 7337-16], which involved a 13-year failure to file correct Form 204 reports with the Commission.
SIX Trading Key Figures: September 2019

Date 01/10/2019

In September, trading turnover on the Swiss stock exchange was up 6% on the previous month and reached CHF 139.1 billion. There was decrease in the number of transactions by -7.3% to 6,181,625. In comparison with the corresponding period last year, trading turnover was up by 8.1% at CHF 1,101.8 billion, while the number of trades rose by 4.1% to 46,321,527. Since the beginning of the year, the SMI® rose by 19.6% and reached 10,078.3 points at the end of September.
NatWest Markets Selects UK Fintech ipushpull For Sharing Trade Axes In Real-Time With The Buy-Side

Date 01/10/2019

NatWest Markets is using ipushpull, a London-based fintech, to share trade axes in real-time with some of its largest buy-side clients. The ipushpull platform enables NatWest Markets to meet its clients' needs through an interactive automated axe interface which supports customisation and filtering per counterparty. The platform also allows automation and delivery over multiple channels
Nasdaq To Acquire The Center For Board Excellence

Date 01/10/2019

Nasdaq, Inc. (Nasdaq: NDAQ) announced today its acquisition of the Center for Board Excellence (CBE), a privately-held provider of corporate governance and compliance solutions for boards of directors, CEOs, corporate secretaries, and general counsels. Nasdaq plans to combine CBE with its Nasdaq Governance Solutions business, which operates award-winning1 board portal and collaboration technology solutions. The combination establishes a leading provider of technology, research and insights, and consultative services designed to advance governance excellence and collaboration at public, private, and nonprofit organizations worldwide.