Market Integrity
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Court Muddies Water on Insider Trading, but CFA Institute Code and Standards Are Clear

Court Muddies Water on Insider Trading, but CFA Institute Code and Standards Are Clear | Market Integrity | Scoop.it
Despite courts’ waffling on insider trading, the CFA Institute Code and Standards are constant: If you know the information is material and not in the public domain, don’t trade or cause others to ...
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ASIC got it right on dark pools: Liquidnet

ASIC got it right on dark pools: Liquidnet | Market Integrity | Scoop.it
Liquidnet says regulators in US and UK would do well to look at ASIC dark pool approach. #ausbiz #assetmanagement http://t.co/ijPUmxDYA5
Amanda J Mark's insight:

Returning Dark Pools to their original purpose.

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ASIC aims to shut unlicensed Vault

ASIC aims to shut unlicensed Vault | Market Integrity | Scoop.it
ASIC has secured an interim order preventing Vault Market Pty Ltd and its director, MD Anamul Amin, from carrying on a financial services business without an Australian Financial Services licence.
Amanda J Mark's insight:

ASIC has eyes on FX firms.

 

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SEC.gov | SEC Announces Order for Tick Size Pilot Plan

SEC.gov | SEC Announces Order for Tick Size Pilot Plan | Market Integrity | Scoop.it
Amanda J Mark's insight:

Proposal to move tick sizes to $0.05 for securities with market capital of less than 5 billion, trading price over $2.00 and trading 1 million shares or less per day. Interesting times ahead.

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SEC.gov | A Few Things Directors Should Know About the SEC

SEC.gov | A Few Things Directors Should Know About the SEC | Market Integrity | Scoop.it
“A Few Things Directors Should Know About the SEC” at Stanford University Rock Center for Corporate Governance
Twentieth Annual Stanford Directors’ College on June 23, 2014 by Chair Mary Jo White
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HFT Lawsuit To Reveal Anonymous Tweeter Uncovers Much More - ValueWalk

HFT Lawsuit To Reveal Anonymous Tweeter Uncovers Much More - ValueWalk | Market Integrity | Scoop.it
HFT Lawsuit To Reveal Anonymous Tweeter Uncovers Much More ValueWalk In a lawsuit filed in the Circuit Court of Cook County, Illinois on April 24, the HFT firm, more commonly known as Jump Trading, seeks to learn the identity of a person tweeting...
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Eight ways to improve our financial services rules

Eight ways to improve our financial services rules | Market Integrity | Scoop.it
To help kick-start the debate as the Murray inquiry continues, here are eight proposals for reform.
Amanda J Mark's insight:

Back on the table? A register for Broker/Dealers of individual practitioners.

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10 Things People Don't Get About Dark Pools

There is a significant amount of misunderstanding about how dark pools operate, so in David Letterman fashion this pro tries to set the record straight.
Amanda J Mark's insight:

Dark Pools have always been around for institutional investors who do know what they are doing.

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13 Exchanges hit with HFT lawsuit: Report - CNBC

13 Exchanges hit with HFT lawsuit: Report - CNBC | Market Integrity | Scoop.it
A class-action suit has been filed against 13 different stock exchanges, reports CNBC's Eamon Javers. The suit alleges high-frequency traders profited at the expense of savers.
Amanda J Mark's insight:

Class Action for breach of contract. Will be interesting to see how this one pans out.

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The IEX Alternative Trading System Wants To Lock Out Robots

The IEX Alternative Trading System Wants To Lock Out Robots | Market Integrity | Scoop.it
The IEX alternative trading system wants to banish high-frequency robot algorithms from stock trading.
Amanda J Mark's insight:

Leveling the playing field?

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High-Frequency Trading Models Get FCA’s Wheatley Scrutiny

Britain’s market regulator is scrutinizing high-frequency trading algorithms to ensure firms can suspend operations at short notice and aren’t abusing the market, its chief executive officer said.
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The history of HFT

The history of HFT | Market Integrity | Scoop.it
The financial news is full of stories about high-frequency trading these days. The concept has evolved, but there’s one common thread: these are trading systems, plain and simple. (C u tomorrow!
Amanda J Mark's insight:
HFT has always been around. Interesting read on trading tactics over the years.
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ASIC chair stresses pro-active enforcement actions - Money Management

ASIC chair stresses pro-active enforcement actions - Money Management | Market Integrity | Scoop.it
ASIC chair stresses pro-active enforcement actions Money Management The chair of the Australian Securities and Investments Commission (ASIC), Greg Medcraft, has stressed the pro-active nature of the regulator's enforcement efforts but has qualified...
Amanda J Mark's insight:

Can ASIC remain proactive with budget cuts?

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Murray Financial System Inquiry: The key recommendations - The Australian

Murray Financial System Inquiry: The key recommendations - The Australian | Market Integrity | Scoop.it
THERE are 44 recommendations from the final report of the Murray Financial System Inquiry.
Amanda J Mark's insight:

44 Recommendations. Watch this space to see what will be implemented.

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SEC's High-Speed Trader Plan Embraced by Exchange Leaders - Bloomberg

SEC's High-Speed Trader Plan Embraced by Exchange Leaders
Bloomberg
A sweeping blueprint designed by the U.S.
Amanda J Mark's insight:

Let there be light. Plans for Dark Pools to disclose how they work.

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Hong Kong Exchange Offers 'Extreme' Transparency - CoinDesk

Hong Kong Exchange Offers 'Extreme' Transparency - CoinDesk | Market Integrity | Scoop.it
CoinDesk
Hong Kong Exchange Offers 'Extreme' Transparency
CoinDesk
48. July 5 - Flickr nicolas_vollmer_photo Hong Kong.
Amanda J Mark's insight:

Extreme transparency. Is this what we are looking for?

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Australian teams commit to ending
homophobia - Gay Lesbian Bi Trans News Archive - Windy City Times

Australian teams commit to ending <br/>homophobia - Gay Lesbian Bi Trans News Archive - Windy City Times | Market Integrity | Scoop.it
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Lonsec proposes research house disclosure changes

Lonsec proposes research house disclosure changes | Market Integrity | Scoop.it
Investor Daily is a national online news and information resource for Australia's financial services sector.
Amanda J Mark's insight:

Interesting thinking on how Research Houses need to evolve.

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Rewards sought for corporate informants

Rewards sought for corporate informants | Market Integrity | Scoop.it
Senate inquiry expected to call for informants who expose wrongdoing to be rewarded.
Amanda J Mark's insight:

Is a cash bounty the way forward for Whistleblowers?

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Newcrest hit with $1.2m fine

Newcrest hit with $1.2m fine | Market Integrity | Scoop.it
Myresources is a portal for mining, oil and gas and resources news.
Amanda J Mark's insight:

If accepted by the Australian Courts this will be the largest fine for a Continuous Disclosure breach. Well worth reviewing your own processes to ensure compliance with the obligations and avoid fines of this magnitude.

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The Surprising Countries With More Women in Corporate Leadership Than the ... - TIME

The Surprising Countries With More Women in Corporate Leadership Than the ... - TIME | Market Integrity | Scoop.it
TIME
The Surprising Countries With More Women in Corporate Leadership Than the ...

Via Armelle Loghmanian
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Merrill Lynch Equities fined by ASIC - InvestorDaily

Merrill Lynch Equities fined by ASIC - InvestorDaily | Market Integrity | Scoop.it
Merrill Lynch Equities fined by ASIC
InvestorDaily
ASIC's Markets Disciplinary Panel (MDP) has penalised Merrill Lynch Equities for placing an erroneous order into the ASX Trading Platform which affected the market for Rio Tinto shares.
Amanda J Mark's insight:

Fat Fingers strike again. Why do so many firms not have filters in place to avoid errors like this?

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Julie Jason: Regulators shine a light on dark-pool data - CT Post

Julie Jason: Regulators shine a light on dark-pool data - CT Post | Market Integrity | Scoop.it
Julie Jason: Regulators shine a light on dark-pool data
CT Post
Last week, for the first time ever, regulators made dark-pool data available to the public. Dark pools execute trades off exchanges.
Amanda J Mark's insight:

The data is here and it is free. FINRA publishes Dark Pool data.

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FINRA sheds light on dark pool trades - FTSE Global Markets

FINRA sheds light on dark pool trades FTSE Global Markets The Financial Industry Regulatory Authority has begun providing data indicating the activity levels in each alternative trading system (ATS), including dark pools, as part of an effort to...
Amanda J Mark's insight:

Coming out of the dark. What will the data reveal?

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Financial Standard - ASIC budget cuts send the wrong message: Greens

Cuts to the funding of the Australian Securities and Investments Commission (ASIC) send the wrong message to would-be criminals, Greens Senator Peter Whish-Wilson said. (Painful lessons from the GFC not pain enough for Abbott.
Amanda J Mark's insight:

Sending the wrong message?

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