FTSE Mondo Visione Exchanges Index:
News Centre
-
Date 09/09/2014
CFTC Staff Issues Exemptive Letter To Certain Registered Commodity Pool Operators Regarding Filing Form CPO-PQR
The U.S. Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued a letter recently providing exemptive relief regarding filing Commission Form CPO-PQR for those commodity pool operators (CPOs) that are registered, but have no reporting obligations under part 4 of the Commission’s regulations.
-
Date 09/09/2014
Autorité Des Marchés financiers Launches Penal Proceeding Targeting Market Manipulation Activities
Autorité des marchés financiers (“AMF”) has launched a joint penal proceeding against 13 defendants (11 individuals and 2 companies) allegedly involved in market manipulation activities that took place between 2008 and 2012 in violation of the Securities Act.
-
Date 09/09/2014
CFTC Orders Zulutrade Inc. To Pay $150,000 Penalty And Disgorge Profits Of $80,000 To Settle Charges Of Failure To Supervise Activities Relating To Its Business As A CFTC Registrant - Zulutrade Is A CFTC-Registered Introducing Broker Located In Piraeus, Greece
The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Zulutrade, Inc., a CFTC-registered Introducing Broker located in Piraeus, Greece, for failure to diligently supervise activities relating to its business as a CFTC registrant. Specifically, the CFTC’s Order found that for at least a three-year period from October 2010 to October 2013, Zulutrade failed to follow its procedures for screening for accountholders from the U.S. Department of the Treasury’s Office of Foreign Assets Control’s (OFAC) targeted countries. The Order requires Zulutrade to pay a $150,000 civil monetary penalty and disgorge $80,000 in commissions and fees it earned from accounts that were related to the supervisory failure.
-
Date 09/09/2014
ISDA Insight Survey: Derivatives Vital To End-Users, But Fragmentation A Concern
Over-the-counter (OTC) derivatives continue to be an integral part of end-user risk management strategies, according to a survey published today by the International Swaps and Derivatives Association, Inc. (ISDA) at its 2014 ISDA Annual North America Conference in New York.
-
Date 09/09/2014
CFTC Staff Issues Exemptive Letter To Commodity Pool Operators Expanding The List Of Permissible Third-Party Recordkeepers
The U.S. Commodity Futures Trading Commission’s (Commission) Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued an exemptive letter that allows commodity pool operators (CPOs) to use additional recordkeepers beyond those enumerated in Commission regulations 4.7(b)(4) and 4.23(c).
-
Date 09/09/2014
US Federal Agencies Announce Increases In Dollar Thresholds In Regulations Z And M For Exempt Consumer Credit And Lease Transactions
The Federal Reserve Board and the Consumer Financial Protection Bureau (CFPB) today announced increases in the dollar thresholds in Regulation Z (Truth in Lending) and Regulation M (Consumer Leasing) for exempt consumer credit and lease transactions. These increases are consistent with the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) amendments to the Truth in Lending Act and the Consumer Leasing Act to adjust these thresholds annually by the annual percentage increase in the Consumer Price Index for Urban Wage Earners and Clerical Workers. Transactions at or below the thresholds are subject to the protections of the regulations.
-
Date 09/09/2014
CFTC Charges Florida Attorney Jay Bruce Grossman With Aiding And Abetting Illegal Metals Transactions And Fraud
The U.S. Commodity Futures Trading Commission (CFTC) today filed a civil enforcement Complaint in the U.S. District Court for the Southern District of Florida against attorney Jay Bruce Grossman, who practices law in Fort Lauderdale, Florida. The CFTC Complaint alleges that beginning on July 16, 2011, Grossman willfully aided and abetted multiple clients in their operation of illegal and fraudulent precious metals schemes, in violation of the Commodity Exchange Act (CEA).
-
Date 09/09/2014
SEC Charges Offshore Business And Two Individuals Behind Scheme To Conceal Ownership Of Microcap Stocks
The Securities and Exchange Commission today charged two individuals managing an offshore business intended to help clients evade U.S. securities laws with concealing the ownership of certain microcap stocks as part of a larger money laundering scheme alleged by criminal authorities.
-
Date 09/09/2014
FTSE4Good Semi-Annual September 2014 Review
- 46 new companies added to Index Series, now over 900 constituents in total
- 11 new companies from USA
- Entrants from Nordic region continue to rise
-
Date 09/09/2014
Chairman And Chief Executive Of The UK Financial Conduct Authority Questioned By The UK Parliament Treasury Committee
Financial Conduct Authority Hearings 2014-15WitnessesJohn Griffith-Jones, Chairman, and Martin Wheatley, Chief Executive, Financial Conduct Authority
- First
- Previous
- 10260
- 10261
- 10262
- 10263
- 10264
- 10265
- 10266
- 10267
- 10268
- 10269
- 10270
- 10271
- 10272
- 10273
- 10274
- 10275
- 10276
- Next
- Last