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Date 22/10/2012
CFTC Issues Final Interpretative Guidance To Clarify Foreign Regulators Indemnification And Confidentiality Obligations
The Commodity Futures Trading Commission (Commission) today issued final Interpretative Guidance to, under certain circumstances, exempt foreign regulators from the indemnification and confidentiality provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). This exemption applies generally to data that is reported pursuant to foreign law and if the swap data repository (SDR) is registered, recognized, or otherwise authorized by the country’s law and regulation. The Commission voted 3 to 2 via seriatim to issue this Interpretative Guidance, which will become effective u
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Date 22/10/2012
S&P Dow Jones Indices Announces Changes To The S&P/TSX Canadian Indices - A Deletion From The S&P/TSX Preferred Share Index
S&P Canadian Index Services will make the following changes in the S&P/TSX Canadian Indices:
CIBC (TSX:CM) has announced that it will redeem for $CDN25.00 cash per share all of the outstanding shares of its Non-Cumulative Class A Preferred Shares, Series 18 (TSX:CM.PR.P) at the close on October 29, 2012. The shares of this issue will be removed from the S&P/TSX Preferred Share Index and the S&P/TSX North American Preferred Stock Index after the close of trading on Monday, October 29, 2012.
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Date 22/10/2012
Statement Of Support: Interpretative Guidance Regarding The Confidentiality And Indemnification Provisions Of The Dodd-Frank Act, CFTC Chairman Gary Gensler
I support the final interpretative guidance regarding the confidentiality and indemnification provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
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Date 22/10/2012
SEC Adopts Standards For Risk Management And Operations Of Clearing Agencies
The Securities and Exchange Commission today adopted a rule that establishes standards for how registered clearing agencies should manage their risks and run their operations.
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Date 22/10/2012
Dissenting Statement, Swap Data Repositories: Interpretative Statement Regarding The Confidentiality And Indemnification Provisions Of Section 21(d) Of The Commodity Exchange Act - Commissioner Jill E. Sommers And Commissioner Scott D. O’Malia
We respectfully dissent from issuing this Final Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of Section 21(d) of the Commodity Exchange Act (CEA) (Final Interpretative Statement). When the Commission issued the proposed guidance (Proposed Interpretative Statement) in May of this year, we were concerned that the statement did not actually solve the problem with the statutory language beyond providing some additional clarity to the Swap Data Repository (SDR) rules and we called for a permanent solution by way of a legislative repeal of the indemnification provisions.
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Date 22/10/2012
International Securities Exchange Announces Its Sponsorship Of AWE, The Association Of Women Entrepreneurs And Executives
The International Securities Exchange (ISE) is pleased to announce that it is sponsoring a pre-conference networking dinner for The Association of Women Entrepreneurs and Executives in advance of their AWE Awards and National Conference to be held on November 7, 2012. AWE is a national women's leadership organization that provides its senior level executive women and entrepreneur members with a proprietary, paradigm-shifting platform for personal and professional advancement.
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Date 22/10/2012
ISDA Letter To OCC, Fed Board And FDIC On Regulatory Capital Rules: Standardized Approach For Risk-weighted Assets - Market Discipline And Disclosure Requirements
Click here to dowqnload ISDA's letter to the Office of the Comptroller of the Currency, Board of Governors of the Federal Reserve System and the Federal Deposit InsuranceCorporation on regulatory capital rules.
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Date 22/10/2012
FINRA Sanctions David Lerner Associates $14 Million For Unfair Practices In Sale Of Apple REIT Ten And For Charging Excessive Markups On Municipal Bonds And CMOs - Customers To Receive Approximately $12 Million In Restitution - Firm Fined $2.3 Million; President And Head Trader Fined And Suspended
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered David Lerner Associates, Inc. (DLA) of Syosset, NY, to pay approximately $12 million in restitution to affected customers who purchased shares in Apple REIT Ten, a non-traded $2 billion Real Estate Investment Trust (REIT) DLA sold, and to customers who were charged excessive markups. As the sole distributor of the Apple REITs, DLA solicited thousands of customers, targeting unsophisticated investors and the elderly, selling the illiquid REIT without performing adequate due diligence to determine whether it was suitable for investors. To sell Apple REIT Ten, DLA also used misleading marketing materials that presented performance results for the closed Apple REITs without disclosing to customers that income from those REITs was insufficient to support the distributions to unit owners. FINRA also fined DLA more than $2.3 million for charging unfair prices on municipal bonds and collateralized mortgage obligations (CMOs) it sold over a 30 month period, and for related supervisory violations.
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Date 22/10/2012
SIFMA And Other Trades Submit Comments To US Regulators On Basel III Implementation Proposals
SIFMA today submitted comments to the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (FRB), and the Federal Deposit Insurance Corporation (FDIC) to the collective agencies’ proposals to implement new capital standards as agreed to by the Basel III capital accords. The letter was co-signed by the American Bankers Association and the Financial Services Roundtable.
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Date 22/10/2012
Ibovespa Future Contract Is Now Available For Trading At CME Group In Chicago
CME Group launched today (22nd October) the U.S. Dollar-Denominated Ibovespa Futures a cross listing product in partnership with BM&FBOVESPA.
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