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Date 07/09/2017
New York State Department Of Financial Services Fines Habib Bank And Its New York Branch $225 Million For Failure To Comply With Laws And Regulations Designed To Combat Money Laundering, Terrorist Financing, And Other Illicit Financial Transactions - Financial Services Superintendent Maria T. Vullo Exercises Her Authority To Expand The Scope Of An Independent Review And Issues Surrender Order Imposing Conditions For The Orderly Wind Down Of Habib’s New York Branch - New Consent Order Follows A 2016 Examination Finding Continued Weaknesses In The Bank’s Risk Management And Compliance Following A Prior 2015 Consent Order
Financial Services Superintendent Maria T. Vullo today announced that the Department of Financial Services (DFS) has fined Habib Bank and its New York branch $225 million for failure to comply with New York laws and regulations designed to combat money laundering, terrorist financing, and other illicit financial transactions. The new consent order follows a 2016 DFS examination that found weaknesses in the bank’s risk management and compliance and the bank’s failure to undertake extensive remedial actions required by a 2015 consent order. As a result of DFS’s most-recent findings, Superintendent Vullo has exercised her authority provided by the 2015 consent order to expand the scope of an independent review of the bank’s operations. In addition, Habib Bank has agreed to surrender its license to operate the New York branch upon fulfillment of conditions outlined in a separate Surrender Order to ensure the orderly wind down of the New York branch.
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Date 07/09/2017
SEC: Former Amazon Employee And College Friend Charged With Insider Trading
The Securities and Exchange Commission today announced insider trading charges against a former Amazon financial analyst who allegedly leaked confidential information to his former fraternity brother in advance of a company earnings announcement so they could turn an illegal profit. The college friend and his trading partner also are charged in the SEC’s complaint.
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Date 07/09/2017
ISDA Launches Latest Version Of ISDA SIMM Non-cleared Derivatives Margin Model
The International Swaps and Derivatives Association, Inc. (ISDA) has announced the launch of the latest version of the Standard Initial Margin Model (ISDA SIMM), which incorporates a number of enhancements to further develop the methodology.
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Date 07/09/2017
MIAX Options Exchange: Consolidated Audit Trail ( CAT ) Fee Dispute Resolution Rule
On August 30, 2017, the Securities and Exchange Commission approved MIAX Options' rule filing to adopt MIAX Options Rule 1713 (Consolidated Audit Trail – Fee Dispute Resolution).
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Date 07/09/2017
CME Group Chairman And Chief Executive Officer And Chief Financial Officer To Present At Barclays Conference
CME Group announced today that Terry Duffy, Chairman and Chief Executive Officer, and John Pietrowicz, Chief Financial Officer, will present at the Barclays Global Financial Services Conference in New York on Tuesday, September 12, at 11:15 a.m. (Eastern Time).
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Date 07/09/2017
Euronext Announces Quarterly Review Results For The AEX, AMX, ASCX
Euronext today announced the results of the quarterly review of the AEX®, AMX® and AScX® indices. The changes due to the review will be effective from Monday 18 September 2017.
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Date 07/09/2017
TASE’s New Structure Underway - Court Approves Demutualization Arrangement - Demutualization Facilitates Entry Of New Players And Will Contribute To Competition In Israel’s Capital Market
Amnon Neubach, Chairman of the TASE Board of Directors said: “Today the Tel Aviv Stock Exchange embarks on a new era, joining the world’s leading exchanges. The demutualized facilitates the entry of new TASE players and will contribute to the establishment of partnerships, which will lead in turn, to increasing competition and will strengthen TASE’s position in the Israeli capital market. I wish to express my gratitude and appreciation to the Minister of Finance, Mr. Moshe Kahlon and to the Chairman of the Israel Securities Authority, Prof. Shmuel Hauser, who worked tirelessly to promote this meaningful change, benefitting the development and growth of Israel’s capital market.”
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Date 07/09/2017
Euronext Announces Quarterly Review Results Of The PSI 20
Euronext today announced the results of the quarterly review for the PSI 20®. The changes due to the review will be effective from Monday 18 September, 2017.
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Date 07/09/2017
EU EUA Auction Cancelled
Today´s EU EUA auction had to be cancelled, as provided for in the EU Auctioning Regulation, because the auction clearing price was significantly under the price on the secondary market.
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Date 07/09/2017
Euronext Announces Annual Review Results On The CAC Family Indices
Euronext today announced the results of the annual reweighting of the CAC family indices, which took place after close of the markets on Thursday 7th September 2017. The changes following the review will be effective from 18 September 2017.
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