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  • SEC Charges Smith & Wesson With FCPA Violations

    Date 28/07/2014

    The Securities and Exchange Commission today charged Smith & Wesson Holding Corporation with violating the Foreign Corrupt Practices Act (FCPA) when employees and representatives of the U.S.-based parent company authorized and made improper payments to foreign officials while trying to win contracts to supply firearm products to military and law enforcement overseas.

  • SIFMA President And CEO Kenneth E. Bentsen, Jr. Participates In Equity Market Structure Reform Roundtable

    Date 28/07/2014

    SIFMA today released the following excerpts from a statement given by Kenneth E. Bentsen, Jr., SIFMA president and CEO, at an equity market structure roundtable discussion with key market participants, legal experts, and Members of Congress, hosted by Rep. Scott Garrett, Chairman of the Financial Services Subcommittee on Capital Markets and Government-Sponsored Enterprises: 

    "Building on decades of leadership on market structure issues and more than 14 comment letters over the past four years, SIFMA recently convened a broad-based task force of our diverse membership to develop a series of market structure changes that we believe will enhance transparency, provide for fair and timely access to market data, and address the complexity and fragmentation caused by rebates and order types.

  • Bank Of England Statement On FCA Enforcement Action Against Lloyds Bank PLC And Bank Of Scotland PLC In Relation To Manipulation Of Submissions To The BBA GBP Repo Rate

    Date 28/07/2014

    In light of today’s publication by the Financial Conduct Authority (FCA) of a Final Notice in relation to enforcement action against Lloyds Bank and Bank of Scotland, the Bank of England issues the following statement:
    Lloyds Banking Group has paid the Bank of England £7.76 million in compensation for the reduction in the amount of Special Liquidity Scheme (SLS) fees received by the Bank as a result of manipulation by Lloyds Bank and Bank of Scotland of submissions to the BBA GBP Repo Rate.  The Bank believes that this payment fully compensates it for all losses which it may have suffered.

  • US Department Of Justice: Lloyds Banking Group Admits Wrongdoing In LIBOR Investigation, Agrees To Pay $86 Million Criminal Penalty

    Date 28/07/2014

    Lloyds Banking Group plc has entered into an agreement with the Department of Justice to pay an $86 million penalty for manipulation of submissions for the London InterBank Offered Rate (LIBOR), a leading global benchmark interest rate.

  • UK's Financial Conduct Authority: Lloyds Banking Group Fined £105m fFr Serious LIBOR And Other Benchmark Failings

    Date 28/07/2014

    The Financial Conduct Authority (FCA) has fined Lloyds Bank plc (Lloyds) and Bank of Scotland plc (BoS), both part of Lloyds Banking Group (LBG), £105 million for serious misconduct relating to the Special Liquidity Scheme (SLS), the Repo Rate benchmark and the London Interbank Offered Rate (LIBOR).

  • Lloyds Banking Group: Settlements Reached On Legacy LIBOR And BBA Repo Rate Issues

    Date 28/07/2014

    Lloyds Banking Group (the Group) announces that it has reached settlements totalling £218 million to resolve with UK and US federal authorities legacy issues regarding the manipulation several years ago of Group companies’ submissions to the British Bankers’ Association (BBA) London Interbank Offered Rate (LIBOR) and Sterling Repo Rate.

  • CFTC Charges Lloyds Banking Group And Lloyds Bank With Manipulation, Attempted Manipulation, And False Reporting Of LIBOR - Banks Agree To A $105 Million Settlement And Agree To Changes In Systems And Controls

    Date 28/07/2014

    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order against Lloyds Banking Group plc and Lloyds Bank plc, formerly known as Lloyds TSB Bank plc (Lloyds TSB), bringing and settling charges for acts of false reporting and attempted manipulation of the London Interbank Offered Rate (LIBOR) for Sterling, U.S. Dollar, and Yen committed by employees of Lloyds TSB and HBOS plc (HBOS), which was acquired by Lloyds Banking Group in January 2009. The Order finds that, in a few instances, Lloyds TSB was successful in its manipulation of Sterling LIBOR and Yen LIBOR. The CFTC also brought and settled charges that Lloyds TSB, at times, aided and abetted the attempts of derivatives traders at Rabobank to manipulate Yen LIBOR.

  • BNY Mellon Appointed By NASDAQ OMX Clearing To Provide US Treasury Clearing And Custody

    Date 28/07/2014

    BNY Mellon, a global leader in investment management and investment services, has been appointed by NASDAQ OMX Clearing to provide EMIR (European Market Infrastructure Regulation) compliant clearing and custody services for US Treasuries within the NASDAQ OMX Group's new European clearing business.

  • Thai Bourse Encourages ‘Social Investment’ For Sustainability

    Date 28/07/2014

    The Stock Exchange of Thailand (SET) has continued to enhance ‘social investment’ concept among business sector and investors, encouraging them to focus on building financial returns while creating goodness for society, as well as propelling social enterprise to prosper in Thailand.

  • Lydia Romero Appointed CISI Director Of Learning

    Date 28/07/2014

    The Chartered Institute for Securities & Investment (CISI) has appointed Lydia Romero as its new Director of Learning.