FTSE Mondo Visione Exchanges Index:
News Centre
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Date 26/06/2013
UK’s Financial Conduct Authority Sponsors London Stock Exchange As A Pre-Local Operating Unit
- London Stock Exchange will assign interim Legal Entity Identifiers
- Interim Entity Identifier codes will satisfy new reporting requirements under EMIR
- UnaVista expected to start allocating new IEI codes from July 2013
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Date 26/06/2013
Knight Capital Group And GETCO Announce Approvals Of Merger At Respective Special Meetings - Regulatory Approvals Of Merger Received From FINRA And FCA - Currently Scheduled Closing Date Of July 1, 2013 - Preliminary Results Of Knight Stockholder Cash/Stock Election
Knight Capital Group, Inc. (NYSE Euronext: KCG) ("Knight") and GETCO Holding Company, LLC ("GETCO") announced that at the special meetings held yesterday, the companies' respective stockholders and unitholders approved the adoption of the merger agreement dated as of December 19, 2012 and amended and restated as of April 15, 2013 among KCG Holdings, Inc. ("KCG") (formerly known as Knight Holdco, Inc.), Knight, GETCO, and the other parties thereto. In addition, regulatory approvals required under the merger agreement were received from the Financial Industry Regulatory Authority (FINRA) and the UK's Financial Conduct Authority (FCA). The transaction, which remains subject to customary closing conditions, is currently scheduled to close on Monday, July 1, 2013.
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Date 26/06/2013
FINRA Fines StateTrust Investments $1 Million And Orders $353,000 In Restitution For Charging Unfair Prices In Fraudulent Bond Transactions - Head Trader And Chief Compliance Officer Fined And Suspended
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined StateTrust Investments, Inc. $1.045 million and sanctioned the firm's head trader, Jose Luis Turnes, for charging excessive markups and markdowns in fraudulent corporate bond transactions. FINRA also ordered StateTrust to pay more than $353,000 in restitution, plus interest, to customers who received unfair prices. In addition, Turnes was suspended for six months and fined $75,000. In a related action in April 2012, Jeffrey Cimbal, StateTrust's Chief Compliance Officer, was fined $20,000 and suspended for five months in a principal capacity for failing to supervise Turnes.
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Date 26/06/2013
ESMA Seeks New Members For Its Securities Markets Stakeholders Group
The European Securities and Markets Authority (ESMA) is seeking new members for the Securities and Markets Stakeholder Group (SMSG), as the current members’ term expires at the end of 2013. The SMSG’s aim is to facilitate ESMA’s consultation on its work with relevant securities markets stakeholders from around the European Union (EU).
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Date 26/06/2013
Federal Court In Colorado Orders Michael Gale To Pay More Than $1.2 Million To Settle Fraud Charges In CFTC Enforcement Action
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court Order against Defendant Michael Gale of Littleton, Colorado, individually and doing business as Capital Management Group, requiring him to pay $479,402.35 in restitution to defrauded customers. The Consent Order of Permanent Injunction, entered on June 25, 2013, by Senior U.S. District Judge John L. Kane of the District of Colorado, also imposes a $750,000 civil monetary penalty.
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Date 26/06/2013
NYSE And Group Of Issuers Form NYSE Governance Council To Facilitate Ongoing Discussions On Corporate Governance Matters - Comprised Of Governance Experts From The Publicly-Held Company Community - Serves As An Advisory Board To NYSE On Corporate Governance Issues
The New York Stock Exchange (NYSE) today announced the formation of the NYSE Governance Council to facilitate an open dialog between publicly-held companies and the NYSE on the rapidly evolving and increasingly complex corporate governance landscape.
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Date 26/06/2013
European Council Sets Out Its Position On Transparency Rules For Investment Products
The Permanent Representatives Committee agreed today, on behalf of the Council, its position on a draft regulation aimed at improving market transparency for retail investors (11430/13).
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Date 26/06/2013
European Council Confirms Agreement With European Parliament On Market Abuse Regulation
The Permanent Representatives Committee approved today, on behalf of the Council, a compromise reached with the European Parliament on a draft regulation aimed at tackling insider dealing and market manipulation on securities markets (11384/13).
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Date 26/06/2013
Eurex Clearing: Eurex Clearing Launches Next-Generation Risk Management System
Eurex Clearing, Europe’s leading clearing house, has launched its next-generation risk management system, Eurex Clearing Prisma, into production. Eurex Clearing Prisma applies a portfolio methodology compared to traditional product-by-product based margining approaches. In a stepwise approach, the new system will be rolled out for all products cleared by Eurex Clearing and replace the current Risk Based Margining methodology.
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Date 26/06/2013
Broadridge To Acquire Bonaire - Combination Will Extend Broadridge’s Leadership In Mutual Fund And Asset Management Solutions
Broadridge Financial Solutions, Inc. (NYSE:BR) today announced the signing of an agreement to acquire Bonaire Software Solutions, LLC – a leading provider of fee calculation, billing, and revenue and expense management solutions for asset managers including institutional asset managers, wealth managers, mutual funds, bank trusts, hedge funds and capital markets firms. The addition of Bonaire is another step in Broadridge’s strategy to build a leading suite of data-driven solutions for mutual fund, retirement, and asset management firms to help them grow their businesses, operate efficiently and minimize risk.
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