FTSE Mondo Visione Exchanges Index:
News Centre
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Date 25/09/2012
ISDA Response To UK HMT Consultation On Broadening The Special Resolution Regime Into Non-Bank Financial Institutions
Click here to download ISDA's response to the UK HMT consultation on broadening the special resolution regime into non-bank financial institutions.
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Date 25/09/2012
CFTC Seeks To Revoke Registrations Of Nevada Resident Gordon A. Driver And his Company, Axcess Fund Management LLC
The U.S. Commodity Futures Trading Commission (CFTC) today filed a notice of intent to revoke the registrations of Gordon A. Driver and Axcess Fund Management LLC (Axcess Fund). Driver, a resident of Las Vegas, Nev., is registered with the CFTC as an Associated Person and is the sole principal of Axcess Fund, which is a registered Commodity Pool Operator.
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Date 25/09/2012
SEC Charges Bank Executives in Nebraska With Understating Losses During Financial Crisis
The Securities and Exchange Commission today charged three former bank executives in Nebraska for participating in a scheme to understate millions of dollars in losses and mislead investors and federal regulators at the height of the financial crisis. One of the executives and his son also are charged with insider trading.
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Date 25/09/2012
CFTC Charges Wisconsin Resident Eric N. Schmickle And His Company, Q Wealth Management Inc., With Operating A $5.3 Million Commodity Futures Fraud
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a civil enforcement action against Cedarburg, Wisconsin resident Eric N. Schmickle and his company,Q Wealth Management Inc. The CFTC complaint charges Schmickle and Q Wealth Management with operating a commodity futures Ponzi scheme. The complaint alleges that the defendants made misrepresentations to induce investment, misappropriated customer funds, and created and sent false account statements, invoices for commission, and tax forms.
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Date 25/09/2012
Steven Maijoor, Chair Of ESMA, Spoke At The EFAMA Investment Management Forum
Please click here to download the speech given today by Steven Maijoor, at the EFAMA Investment Managment Forum 2012, in Brussels.
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Date 25/09/2012
FINRA Joins Exchanges And The SEC In Fining Hold Brothers More Than $5.9 Million For Manipulative Trading, Anti-Money Laundering, And Other Violations
The Financial Industry Regulatory Authority (FINRA), along with NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and BATS Exchange, Inc. today announced that they have censured and fined Hold Brothers On-Line Investment Services, LLC $3.4 million for manipulative trading activities, anti-money laundering (AML), and other violations. In a related case, the Securities and Exchange Commission (SEC) today announced a settlement with Hold Brothers, fining the firm more than $2.5 million.
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Date 25/09/2012
SEC Charges N.Y.-Based Brokerage Firm With Layering
The Securities and Exchange Commission today charged a New York-based brokerage firm and three executives for allowing traders outside the U.S. to access the markets and conduct manipulative trading through accounts the firm controlled.
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Date 25/09/2012
CFTC Seeks To Revoke Registrations Of Victor E. Cilli And His Company Progressive Investment Funds, LLC
The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing of a notice of intent to revoke the registrations of Victor E. Cilli and Progressive Investment Funds, LLC(PIF). PIF, based in Hackensack, N.J., is a registered Commodity Pool Operator. Cilli is a New Jersey resident registered as an Associated Person of PIF and is PIF’s sole principal.
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Date 25/09/2012
TMX Group Names James Oosterbaan To Head NGX
TMX Group Limited today announced the appointment of James Oosterbaan as President of Natural Gas Exchange Inc. (NGX). NGX, a wholly-owned subsidiary of TMX Group, provides electronic trading, central counterparty clearing and data services to the North American natural gas and electricity markets. Mr. Oosterbaan will assume this position on November 1, 2012 and will be based in Calgary, Alberta.
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Date 25/09/2012
ESMA Publishes A Q&A On KIID For UCITS
The purpose of this document is to promote common supervisory approaches and practices in the application of the UCITS Directive and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the UCITS framework.
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