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Date 14/05/2015
Keynote Address Of CFTC Commissioner J. Christopher Giancarlo Before The EnergyRisk Summit USA: Houston, TX - “The CFTC’s Proposed Position Limits Regime: Are U.S. Energy Markets At Risk?”
Introduction
Good morning ladies and gentlemen. Thank you for your warm welcome.
Before I begin, let me say that my remarks reflect my own views and do not necessarily constitute the views of the Commodity Futures Trading Commission (CFTC), my fellow CFTC Commissioners or of the CFTC staff.
Thank you to EnergyRisk for inviting me to speak today. It is a pleasure to attend this conference that brings together so many important participants in the North American energy markets. I have read EnergyRisk for many years now. It is a consistently well-informed and insightful perspective on the constant evolution of the energy trading markets.
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Date 14/05/2015
CFTC’s Global Markets Advisory Committee Releases Agenda For Upcoming Public Meeting
The U.S. Commodity Futures Trading Commission (CFTC) today released the agenda for the upcoming Global Markets Advisory Committee (GMAC) public meeting that will be held on May 14, 2015 at CFTC’s headquarters in Washington, D.C. [See CFTC Release 7163-15 for attending, viewing and listening instructions.]
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Date 13/05/2015
FINRA Fines Morgan Stanley $2 Million For Short Interest Reporting And Short Sale Rule Violations
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley & Co. LLC $2 million for short interest reporting and short sale rule violations that spanned a period of more than six years, and for failing to implement a supervisory system reasonably designed to detect and prevent such violations.
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Date 13/05/2015
Private Equity: A Look Back And A Glimpse Ahead, Marc Wyatt, Acting Director, SEC Office Of Compliance Inspections And Examinations, New York, May 13, 2015
I. Introduction
Good morning and thank you very much for the kind introduction.
Before I begin, I’ll remind you that the Securities and Exchange Commission (“SEC or Commission”) disclaims responsibility for any statement or private publication by any of its employees, including me. The views expressed here are my own and do not necessarily reflect the views of the Commission, the Commissioners, or of other members of the staff.
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Date 13/05/2015
Alberta Securities Commission Sanctions Edmund Shimoon For Making An Untrue Statement To ASC Staff
The Alberta Securities Commission (ASC) has ordered Edmund Shimoon to pay an administrative penalty of $25,000 and investigation and hearing costs of $7,500 after he was found to have breached Alberta securities laws by making an untrue statement to ASC staff in the course of their investigation.
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Date 13/05/2015
CFTC Swaps Report Update
CFTC's Weekly Swaps Report has been updated, and is now available.
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Date 13/05/2015
Optimizing Our Equity Market Structure, Opening Remarks At The Inaugural Meeting Of The Equity Market Structure Advisory Committee, SEC Chair Mary Jo White, May 13, 2015
I am pleased to welcome everyone to the inaugural meeting of the Equity Market Structure Advisory Committee. Maintaining and enhancing the high quality of the U.S. equity markets is one of the SEC’s most important responsibilities. This Committee’s work is an important part of that and will be of great assistance to the Commission as we continue our efforts to ensure that the equity markets optimally meet the needs of investors and public companies.
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Date 13/05/2015
CME Group's Terry Duffy To Appear Before The U.S. Senate Committee On Agriculture, Nutrition & Forestry
CME Group Executive Chairman and President Terry Duffy will appear before the U.S. Senate Committee on Agriculture, Nutrition & Forestry on Thursday, May 14, to discuss Commodity Futures Trading Commission (CFTC) regulatory issues impacting end-users and market liquidity.
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Date 13/05/2015
Deutsche Börse: Annual General Meeting 2015
The Annual General Meeting took place on Wednesday, 13 May 2015 in the Jahrhunderthalle Frankfurt, Pfaffenwiese 301, 65929 Frankfurt/Main, Germany.
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Date 13/05/2015
Cyber Security Cited As Number One Risk To The Financial Markets, According To Most Recent DTCC Study - Almost Half Of Market Participants Cite Cyber Security As The Top Threat, Up From Just 24% One Year Ago
The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that almost half of the respondents (46%) in its most recent Systemic Risk Barometer Study cited cyber security as their top concern and 80% of respondents rated it as a top 5 risk overall.
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