News Centre

SEC Files Charges Seeking To Halt Recidivist And Associates In Scheme To Defraud Small Businesses

Date 28/02/2018

The Securities and Exchange Commission today charged three-time recidivist Steven J. Muehler with operating an unregistered broker-dealer, facilitating an unregistered securities offering, and defrauding small businesses, while promising to help them raise money from investors.  Three companies under Muehler’s control, Muehler’s wife, Claudia M. Muehler, and his associate, Koorosh “Danny” Rahimi, were also charged.  Because the scheme is ongoing, the SEC is also seeking a preliminary injunction to stop Muehler’s ongoing violations of the securities laws, pending trial of the action.

Nasdaq Files Annual Report On Form 10-K

Date 28/02/2018

On February 28, 2018, Nasdaq filed its annual report on Form 10-K for the fiscal year ended December 31, 2017 with the U.S. Securities and Exchange Commission (SEC). The Form 10-K can be accessed on Nasdaq’s website athttp://ir.nasdaq.com/sec.cfm and on the SEC's website at www.sec.gov.

Preliminary Report On Foreign Holdings Of U.S. Securities At End-June 2017

Date 28/02/2018

Preliminary data from the June 2017 benchmark survey of foreign portfolio holdings of U.S. securities were released today on the Treasury website at http://www.treasury.gov/resource-center/data-chart-center/tic/Pages/fpis.aspx.  Final survey results, which will include additional detail as well as possible revisions to the preliminary data, will be reported on April 30, 2018.  The survey was undertaken jointly by Treasury, the Federal Reserve Bank of New York, and the Board of Governors of the Federal Reserve System.  The next annual survey will cover holdings at the end of June 2018; preliminary data are expected to be released by February 28, 2019.

CME Group Global Head Of Commodity And Options Products To Present At Citi Conference

Date 28/02/2018

CME Group announced today that Derek Sammann, Senior Managing Director and Global Head of Commodity and Options Products will present at the Citi 2018 Asset Managers, Broker Dealers and Exchanges Conference in New York on Thursday March 1, at 8:45 a.m. (Eastern Time). 

CFTC Swaps Report Update

Date 28/02/2018

CFTC's Weekly Swaps Report has been updated, and is now available.

CME Group Chief Financial Officer And Global Head Of Financial And OTC Products To Present At KBW Symposium

Date 28/02/2018

CME Group announced today that John Pietrowicz, CME Group Chief Financial Officer, and Sean Tully, CME Group Senior Managing Director and Global Head of Financial and OTC Products, will present at the 2018 KBW Cards, Payments and Financial Technology Symposium in New York on Thursday March 1, at 1:05 p.m. (Eastern Time). 

SEC Charges Ameriprise With Overcharging Retirement Account Customers For Mutual Fund Shares

Date 28/02/2018

The Securities and Exchange Commission today announced that a Minnesota-based broker-dealer and investment adviser has agreed to settle charges for recommending and selling higher-fee mutual fund shares to retail retirement account customers and for failing to provide sales charge waivers.

S&P Dow Jones Indices Europe Dashboard

Date 28/02/2018

• The return of higher volatility to the U.S. markets in early February accompanied the S&P Europe 350®’s largest 3-day drop since the “Brexit” vote. Despite recovering somewhat, the S&P Europe 350 finished the month with a loss. 
• In relative terms, European equity strategy indices performed positively, with the majority of reported indices beating the benchmark. Quality took the top spot this month, while Enhanced Value added to its considerable outperformance over the past 12 months. 
• Rates (and rate expectations) have been rising around the globe for some time. We highlight that this is the first monthly dashboard in three years in which all of our regional sovereign (nominal) bond indices display positive yields.  

FTSE UK Index Series Quarterly Review March 2018

Date 28/02/2018

• Royal Mail to join FTSE 100
• Hammerson to enter FTSE 250 in rebalance 

Dubai Financial Services Authority Issues Notice Of Amendments To Legislation

Date 28/02/2018

Following the ending of the consultation period on a number of proposed legislative changes that were set out in Consultation Paper No. 116 the DFSA Board, after due consideration of consultees’ comments, made amendments to the DFSA Rulebook as described below. Please bear in mind that changes may have been made to the legislation originally proposed in the relevant consultation papers.