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Date 12/05/2015
Keynote Speech At New York City Bar 4th Annual White Collar Institute, Andrew Ceresney, Director, SEC Division Of Enforcement, May 12, 2015
- Introduction
Thank you for that kind introduction. At the outset, let me give the requisite reminder that the views I express today are my own and do not necessarily represent the views of the Commission or its staff.
I am very excited to be here in New York and am honored to be part of this terrific program. Today I am going to talk about something that I am sure is of interest to this audience, if today's program is any indication – and close to my heart as a trial lawyer and former prosecutor – and that is the SEC’s national litigation program. I plan to give an overview of the SEC’s litigation program and some of the recent success we’ve enjoyed – including in a few important areas that don’t usually get much exposure – as well as some of the challenges we face in our tougher cases. I then will then turn to the question of the forum in which we bring our litigated cases, discussing some of the factors that we use in making recommendations to the Commission of a forum for litigation. As you will see, my bottom line is that the Enforcement Division has been very successful litigating cases, in each available forum, despite the challenges we face at trial,
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Date 12/05/2015
TMX Group Announces Election of Directors
TMX Group today announced that the nominees listed in the management proxy circular for the 2015 Annual and Special Meeting of Shareholders were elected as directors of TMX Group Limited. Detailed results of the vote for the election of directors held at the Annual and Special Meeting on Tuesday, May 12, 2015 in Toronto are set out below.
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Date 12/05/2015
CFTC Releases Final Interpretation On Forward Contracts With Embedded Volumetric Optionality
The U.S. Commodity Futures Trading Commission (CFTC) today released its Final Interpretation on Forward Contracts with Embedded Volumetric Optionality. The interpretation identifies when an agreement, contract, or transaction would fall within the forward contract exclusions from the “swap” and “future delivery” definitions in the Commodity Exchange Act, notwithstanding that it allows for variations in the delivery amount (i.e., contains “embedded volumetric optionality”). The unanimous vote was conducted via seriatim.
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Date 12/05/2015
FINRA's NAC Strengthens Sanction Guidelines For Fraudulent Conduct
The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council’s (NAC) review of its Sanction Guidelines has resulted in a number of significant revisions. In particular, the NAC is amending the overarching principles that apply to sanctions determinations and is revising the Sanction Guidelines to call for tougher sanctions against those who commit fraud or make unsuitable recommendations to customers. The revised Sanction Guidelines now advise FINRA adjudicators to strongly consider barring an individual respondent, or expelling a firm, for cases involving fraud. For individuals who violate FINRA’s suitability rule, the range of the suspension has increased from one year to two years, and adjudicators are advised to strongly consider barring an individual respondent where aggravating factors predominate over mitigating ones.
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Date 12/05/2015
ESMA Chair Steven Maijoor Delivers Keynote Address On Capital Markets Union At The Luxembourg Stock Exchange Day
Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA), delivered a keynote speech at the Luxembourg Stock Exchange Day this evening on the topic of Capital Markets Union.
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Date 12/05/2015
Finansinspektionen - Swedish Financial Supervisory Authority: Better Knowledge And A Ban On Commissions Strengthen Consumer Protection
One Swede in two finds simple percentage calculations difficult, and many do not know how inflation works. At the same time, there are growing demands for an increasing number of people to make difficult decisions about their personal finances. There is thus a great need for independent advice and good, simple information. These are a couple of the conclusions in FI’s new consumer protection report.
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Date 12/05/2015
Moscow Exchange: Risk Parameters Change For The Derivatives Market
As per p.2.5 of Principles of initial margin calculation (approved by NCC Clearing Bank Management Board on the April, 8th 2015) the quantity of settlement periods before the expiration date during which the expiration scenarios are taken into account (N) will be changed to null starting from May, 12th 2015, 19-00 (MSK).
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Date 12/05/2015
EnterNext Welcomes TINC To Euronext Brussels
EnterNext, the Euronext subsidiary designed to promote and grow the market for small and mid-cap companies, today welcomed TINC, a Belgian infrastructure investment company, on the regulated market of Euronext Brussels.
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Date 12/05/2015
ESMA Publishes Updates To Q&As On The AIFMD Application
The European Securities and Markets Authority (ESMA) publishes updated questions and answers on the application of the AIFMD. The Q&A includes new questions and answers on reporting and calculation of leverage.
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Date 12/05/2015
SEC Announces Fraud Charges Against ITT Educational Services
The Securities and Exchange Commission today announced fraud charges against ITT Educational Services Inc., its chief executive officer Kevin Modany, and its chief financial officer Daniel Fitzpatrick.
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