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Date 04/03/2013
SEC Issues Risk Alert And Investor Bulletin On Investment Adviser Custody Rule
The Securities and Exchange Commission today issued a Risk Alert on compliance with its custody rule for investment advisers and it also issued an Investor Bulletin about the rule, which is designed to protect advisory clients from theft or misuse of their funds and securities.
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Date 04/03/2013
TMX Group Patron Sponsor Of Prospectors And Developers Association Of Canada's International Convention 2013 - Toronto Stock Exchange And TSX Venture Exchange Speaking At Key Financial Events
TMX Group Limited, the world-leading mining exchange group, is patron sponsor of this year's Prospectors and Developers Association of Canada's (PDAC) International Convention, Trade Show & Investors Exchange, being held from March 3 to 6, 2013.
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Date 04/03/2013
IOSCO Publishes Principles of Liquidity Risk Management For CIS
The International Organization of Securities Commissions published today the final report on Principles of Liquidity Risk Management for Collective Investment Schemes, which contains a set of principles against which both the industry and regulators can assess the quality of regulation and industry practices concerning liquidity risk management for collective investment schemes (CIS).
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Date 04/03/2013
Setup Of EUA Auctions Completed For All 24 Member States - Czech Republic’s Admission To Transitional Common Auction Platform Finished – Czech Republic’s Second NER Auction To Be Held On 20 March – Flemish NER Auctions Determined
Today, the Czech Republic’s auctioneer for the common EU platform (OTE, a.s.) has been admitted to European Energy Exchange (EEX). This means that the admission process for all 24 EU Member States participating in the transitional common auction platform has now been completed.
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Date 04/03/2013
FINRA Fines Ameriprise And Clearing Firm $750,000 For Failing To Supervise Transmittal Of Customer Funds To Third-Party Accounts
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Ameriprise Financial Services, Inc. and its affiliated clearing firm, American Enterprise Investment Services Inc. (AEIS), $750,000 for failing to have reasonable supervisory systems in place to monitor wire transfer requests and the transmittal of customer funds to third-party accounts.
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Date 04/03/2013
CBOE Futures Exchange: Trading Volume In VIX Futures Reaches New All-Time High For Second Consecutive Month
- Average Daily Volume Gains 141% Year-Over-Year
- Total Volume Tops Three Million Contracts For First Time
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Date 04/03/2013
Portware Wins Best Buy-Side EMS
Portware, the leading provider of global, multi-asset trading solutions, today announced that Markets Media has recognized Portware with the prestigious 2013 Market’s Choice Award for Best Buy-Side Execution Management System (EMS).
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Date 04/03/2013
Burgundy Monthly Report - February 2013
Olof Neiglick, CEO of Burgundy, comments about the month: “Burgundy’s average daily turnover for the Nordic countries was EUR 93.6 (86.1) million, an increase of 8.7 percent, compared with January 2013.“
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Date 04/03/2013
The U.S. National Numbering Agency, CUSIP Global Services, Partners With CICI Utility To Enhance And Expand Legal Entity Identification - Collaboration Will Support New NAIC Reporting Requirements And Issuer Identification
In support of new regulatory reporting requirements, CUSIP Global Services (CGS) announced today that it will collaborate with The Depository Trust & Clearing Corporation (DTCC) on the assignment of Commodity Futures Trading Commission (CFTC) Interim Compliant Identifiers (CICIs). This collaboration aims to assist market participants who must have legal entity identifiers (LEIs) to meet new regulatory requirements, increase market efficiencies regarding LEI registration, and aid widespread adoption of LEIs.
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Date 04/03/2013
Tehran Stock Exchange Hosts A Foreign Investment Delegation
A group of eleven foreign investors from the USA, India and Russia visited Tehran Stock Exchange (TSE) in order to get acquainted with the Iranian capital market and foreign investment regulations.
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