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CFTC Expands Interest Rate Swap Clearing Requirement

Date 28/09/2016

The U.S. Commodity Futures Trading Commission (Commission) today expanded the existing clearing requirement for interest rate swaps. The Commission voted unanimously to approve an amendment to Commission regulation 50.4(a) that establishes a new clearing requirement determination.
SEC Charges UBS With Supervisory Failures In Sale of Complex Products To Retail Investors

Date 28/09/2016

The Securities and Exchange Commission today announced that UBS Financial Services has agreed to pay more than $15 million to settle charges that it failed to adequately educate and train its sales force about critical aspects of certain complex financial products it sold to retail investors.
Bahamas International Securities Exchange Q2, 2016 Statistical Report

Date 28/09/2016

BISX is pleased to announce its BISX All-Share Index and trading statistics for the six month period ending June 30, 2016 with comparison to the same period of 2015.
CFTC Swaps Report Update

Date 28/09/2016

CFTC's Weekly Swaps Report has been updated, and is now available.
Bats Welcomes 13th ProShares Fund To The Bats ETF Marketplace - 19 Issuers, 103 Funds Now Listed On Bats In The U.S.

Date 28/09/2016

Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for exchange-traded fund (ETF) trading, today welcomed its 13th ProShares product to the Bats ETF Marketplace.

Canada Pension Plan Investment Board Lists US$2bn Note On The Irish Stock Exchange

Date 28/09/2016

CPPIB Capital Inc., the capital markets financing subsidiary of Canada Pension Plan Investment Board, has listed a US$2bn fixed rate note on the Global Exchange Market (GEM) of the Irish Stock Exchange (ISE). The notes, due in 2019, have been issued under its recently approved CAD 25bn Debt Issuance Programme and have an interest rate of 1.25%.
Bats Welcomes TrimTabs As A New Issuer To The Bats ETF Marketplace - 19 Issuers, 103 Funds Now Listed On Bats In The U.S.

Date 28/09/2016

Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for exchange-traded fund (ETF) trading, today welcomed TrimTabs as a new issuer to the Bats ETF Marketplace with the launch of a new fund.
Testimony Of Federal Insurance Office Director Michael McRaith Before House Financial Services Subcommittee On Housing And Insurance

Date 28/09/2016

Chairman Luetkemeyer, Ranking Member Cleaver, Members of the Subcommittee, thank you for inviting me to testify today on the impact of U.S. – EU dialogues on insurance markets.
CFTC Orders SG Americas Securities, LLC To Pay A $750,000 Civil Monetary Penalty For Its Participation In Wash Transactions And Related Supervision Failures - CFTC Finds That The Firm Lacked Adequate Controls And Procedures To Detect And Prevent The Execution Of Unlawful Wash Exchange Of Futures For Physical Transactions - SG Americas Securities, LLC Is The successor To Newedge USA, LLC

Date 28/09/2016

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against SG Americas Securities, LLC, as successor to Newedge USA, LLC (Newedge), a financial services firm registered with the CFTC as a Futures Commission Merchant for participating in unlawful wash trades and for failing to diligently supervise over a three and a half year period. The CFTC Order requires SG Americas Securities, as successor to Newedge, to pay a $750,000 civil monetary penalty and comply with an undertaking to improve its internal controls and procedures in order to detect and prevent the execution, clearing and reporting to an exchange of non-bona fide exchange of futures for physical transactions (EFPs).
Statement On Adoption Of Rule On Standards For Covered Clearing Agencies And Proposal On Amendments To Related Definitions, SEC Commissioner Kara M. Stein, Sept. 28, 2016

Date 28/09/2016

I would like to thank the staff for their hard work in bringing these recommendations to the Commission, including Jeffrey Mooney, Stephanie Park, Matthew Lee, Elizabeth Fitzgerald, DeCarlo McLaren, Gena Lai, Carson McLean, Roy Cheruvelil, Hari Phatak, Parul Sharma, Robert Teply, Donna Chambers, and Paula Sherman.