News Centre

ACER Urges TSOs And NRAs To Complete The Implementation Of Congestion Management Measures In Gas

Date 21/09/2016

Two years after the first ACER Implementation Monitoring Report on gas Congestion Management Procedures (CMP), the Agency publishes today an updated Report in which it presents numerous shortcomings and delays in the implementation process. The Agency urges Transmission System Operators (TSOs) and National Regulatory Authorities (NRAs) to implement all the remaining actions foreseen in the EU legislation as soon as possible.

Thomson Reuters Third-Quarter 2016 Earnings Announcement And Webcast Scheduled For Tuesday, November 1, 2016 - Conference Call And Webcast Scheduled For 8:30 A.M. EDT

Date 21/09/2016

Thomson Reuters (NYSE, TSX: TRI), the world’s leading source of intelligent information for businesses and professionals, announced today that its third-quarter 2016 earnings will be issued via news release on Tuesday, November 1, 2016.

SEC: Blank Check Company Manufacturer Charged With Fraud

Date 21/09/2016

The Securities and Exchange Commission today announced fraud charges against a Florida man who was part of a scheme to register and sell stock in blank check companies masked as promising startups to illicitly profit off the investing public.

New Wilshire Analytics Study Finds Options Indexes Offered Noteworthy Returns Over 30 Years - CBOE S&P 500 30-Delta Buywrite (BXMD), CBOE S&P 500 Putwrite (PUT) Indexes Offered Higher Returns, Lower Volatility Than Leading Stock And Commodity Indexes

Date 21/09/2016

Chicago Board Options Exchange® (CBOE®) and Wilshire Analytics, the investment technology foundation of Wilshire Associates Inc. (Wilshire®), today announced the release of a new analysis of the performance of options-based benchmark indexes.

Address Of CFTC Commissioner J. Christopher Giancarlo To The American Enterprise Institute, “21st Century Markets Need 21st Century Regulation”, September 21, 2016

Date 21/09/2016

Introduction

Good afternoon ladies and gentlemen. Thank you for your kind welcome.

Before I begin, let me say that my remarks reflect my own views and are not necessarily the views of the Commodity Futures Trading Commission (CFTC), my fellow CFTC commissioners or the CFTC staff.

My thanks to Peter Wallison for that warm introduction and for hosting today’s program. I am indebted to Peter for his incomparable scholarship, especially on the causes of the 2008 financial crisis.

Bats Welcomes Elkhorn Fundamental Commodity Strategy ETF To The Bats ETF Marketplace - Now 101 Issues Listed On Bats In The U.S.

Date 21/09/2016

Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for exchange-traded fund (ETF) trading, today welcomed the Elkhorn Fundamental Commodity Strategy ETF (Bats: RCOM) to the Bats ETF Marketplace.

A More Effective Approach To Combatting Financial Crime - Speech By Megan Butler, Executive Director Of Supervision - Investment, Wholesale And Specialists At The FCA, Delivered At The BBA Financial Crime And Sanctions Conference

Date 21/09/2016

Key points:

• The FCA takes a proportionate regulatory approach and wants to encourage innovation in this area.
• Banks should focus on outcomes and change processes that aren’t effective.
• The FCA is committed to better cross-agency working and a closer dialogue with industry.

CFTC Orders Chicago-Based Advantage Futures LLC, Its CEO Joseph Guinan, And Former Chief Risk Officer William Steele Jointly To Pay A $1.5 Million Civil Monetary Penalty For Supervision, Risk Management Failures, And Making Inaccurate Statements In Required Filings With The CFTC

Date 21/09/2016

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Advantage Futures LLC (Advantage), a Chicago-based Futures Commission Merchant (FCM), for failing to diligently supervise the handling of certain commodity interest accounts, for deficient risk management and credit risk practices, and for knowingly making inaccurate statements to the CFTC through the submission of required risk manuals and the Annual Chief Compliance Officer’s Report. The CFTC Order also charges Advantage’s Chief Executive Officer Joseph Guinan, a resident of River Forest, Illinois, with supervision failures and former Chief Risk Officer William Steele, aresident of Vernon Hills, Illinois, with failing to supervise Advantage’s risk management program. The violations of the Commodity Exchange Act (CEA) and Regulations began in or about November 2011 to at least August 2015, according to the Order.

Bats Welcomes Amplify Investments As A New Issuer To The Bats ETF Marketplace - 18 Issuers, 101 Funds Now Listed On Bats In The U.S.

Date 21/09/2016

Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for exchange-traded fund (ETF) trading, today welcomed Amplify Investments as a new issuer to the Bats ETF Marketplace with the launch of a new fund.

Remarks Before The AICPA National Conference On Banks & Savings Institutions Of Wesley R. Bricker, SEC Interim Chief Accountant

Date 21/09/2016

Good morning and thank you Don [Walker] for the kind introduction and invitation to speak at today’s AICPA National Conference on Banks & Savings Institutions.