FTSE Mondo Visione Exchanges Index:
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Date 16/04/2013
Outmanned And Outgunned: Fighting On Behalf Of Investors Despite Efforts To Weaken Investor Protections By SEC Commissioner Luis A. Aguilar - North American Securities Administrators Association, Annual NASAA/SEC 19(D) Conference, Washington, D.C.
Good morning. Thank you for inviting me to deliver the opening remarks of today’s North American Securities Administrators Association (“NASAA”) and the U.S. Securities and Exchange Commission’s (“SEC”) 19(d) Conference. Before I begin, let me issue the standard disclaimer that the views I express today are my own, and do not necessarily reflect the views of the SEC, my fellow Commissioners, or members of the staff.
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Date 16/04/2013
Capping Bankers’ Bonuses – Comment
In response to the news that the European Parliament has approved rules to cap bankers’ bonuses, Tom Walker, Employment Law Partner at Manches, says:
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Date 16/04/2013
“KISS” - Speech Of CFTC Commissioner Bart Chilton At The Federal Reserve Bank Of St. Louis, St. Louis, MO
Thank you, President (James) Bullard, for the invitation to spend time at the bank. We are fortunate to have you working for our country. Your efforts, particularly on transparency, are so very significant. (Although, I guess someone at the Fed went too far this last week with the FOMC minutes). It is an honor to know and work with you.
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Date 16/04/2013
CME Group Announces Multiple Trading Volume Records Across Metals Complex - Overall Metals Complex, Gold Futures, Gold Options And Copper Futures Set New Daily Volume Records
CME Group, the world's leading and most diverse derivatives marketplace, today announced that yesterday it reached multiple daily trading volume records across its metals complex, including a combined futures and options volume increase of 78 percent for its Metals Products asset class.
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Date 16/04/2013
SEC Charges Canada-Based Investment Banker With Insider Trading
The Securities and Exchange Commission today charged an investment banker in Toronto with insider trading by using information that he obtained through his job of pitching investment ideas to the Canada Pension Plan Investment Board (CPPIB).
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Date 16/04/2013
Statement By CFTC Chairman Gary Gensler On IOSCO Benchmark Principles
Commodity Futures Trading Commission Chairman Gary Gensler today made the following statement on the International Organization of Securities Commissions (IOSCO) consultation paper on Principles for Financial Benchmarks:
“To promote market integrity, it is critical that benchmark interest rates be anchored in observable transactions and supported by appropriate governance structures. Given what the world has learned about LIBOR, Euribor and similar rates, I am pleased that the IOSCO proposed principles include both of these essential elements. I want to thank the IOSCO members and my co-chair Martin Wheatley for all of their dedication and efforts in developing these principles.
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Date 16/04/2013
22nd Anniversary Of Warsaw Stock Exchange
- The first trading session in shares on the WSE took place on 16 April 1991.
- Today, 22 years later, the WSE is the largest exchange in Central and Eastern Europe.
- The day before its anniversary, the WSE successfully completed the most important technology project in many years: the implementation of the new trading system UTP.
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Date 16/04/2013
Making The CFTC’s Surveillance Work: Efficient Data Management And Clear Rule Implementation - Keynote Address By CFTC’s Commissioner Scott D. O’Malia Before Financial Times Global Commodities Summit, Consolidating The Industry-Challenges Ahead
I want to thank Javier Blas for inviting me to speak at the Summit.
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Date 16/04/2013
BAE Systems Detica Wins Fraud And Financial Crime Software Award 2013 From Operational Risk & Regulation Magazine
BAE Systems Detica today announced that its Detica NetReveal® solution has been named winner of the Fraud and Financial Crime Software Award 2013 by Operational Risk & Regulation magazine. Winners were selected by OpRisk’s editorial staff on the basis of discussions with industry participants.
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Date 16/04/2013
FINRA Fines Merrill Lynch $1 Million And Orders Restitution Of More Than $320,000 For Failing To Provide Customers Best Execution In Non-Convertible Preferred Securities Transactions
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $1.05 million for failing to provide best execution in certain customer transactions involving non-convertible preferred securities executed on one of its proprietary order management systems (ML BondMarket), and for failing to have an adequate supervisory system and written supervisory procedures in place. Merrill Lynch was also ordered to pay more than $323,000 in restitution, plus interest, to customers who did not receive best execution for their trades in non-convertible preferred securities. Additionally, FINRA has required Merrill Lynch to revise its written supervisory procedures regarding ML BondMarket best execution obligations within 30 business days.
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