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Date 03/03/2015
CFTC Charges Michigan Resident Jerry Stauffer With Commodity Pool Fraud And Other Violations - Federal Court Issues Emergency Order Freezing Stauffer’s Assets And Protecting Books And Records
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Chief Judge Paul L. Maloney, of the U.S. District Court for the Western District of Michigan issued an emergency Order freezing and preserving the remaining pool participant assets under the control of Defendant Jerry Stauffer of Traverse City, Michigan. The Order, entered under seal on February 25, 2015, also prohibits Stauffer from destroying books and records and grants the CFTC immediate access to those records.
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Date 03/03/2015
Statement On The Aggregate Impact Of Financial Services Regulations, SEC Commissioner Daniel M. Gallagher
During a fireside chat at today’s Institute of International Bankers’ 26th Annual Washington Conference, I expressed my concern about the number and aggregate impact of regulations that have been imposed on U.S. financial services firms since the enactment of the Dodd-Frank Act in 2010. These regulations come from an alphabet soup of domestic regulators, including the SEC, and many are related to the edicts of non-accountable international bodies such as the Financial Stability Board. Unfortunately, in promulgating many of these myriad regulations, a robust cost-benefit analysis was not required—and therefore none was performed. Even where a cost-benefit analysis was performed (an exercise for the most part limited to rules adopted by the SEC or CFTC, either independently or jointly with other regulators, given their statutory mandate for cost-benefit analysis), such analysis encompassed only the incremental effects of the rule being considered for adoption. No regulator, as far as I know, has considered the overall regulatory burden on financial services firms when determining whether to impose additional costly regulations. We as regulators are, when it comes to the possibility that our rules are causing death by a thousand cuts, the proverbial ostrich—head firmly entrenched in the sand.
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Date 03/03/2015
The New York Stock Exchange Announces Garvis Toler III As Global Head Of Capital Markets
The New York Stock Exchange, part of the Intercontinental Exchange (NYSE: ICE) global network of exchanges and clearing houses, today announced Garvis Toler III will become Global Head of Capital Markets focused on listings transactions. Toler will join the company on March 23, 2015. John Merrell, who has held leadership positions on the NYSE Listings team since 2008, will be responsible for listed company relationships. Both roles will report to NYSE Group President Tom Farley.
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Date 03/03/2015
UK Financial Conduct Authority Statement On Non-Executive Director, David Harker
It is with deep sadness that the Financial Conduct Authority (FCA) has learned that non-executive director, David Harker, passed away yesterday.
John Griffith-Jones, chairman of the FCA, said:
"David served on the FCA Board since its inception on 1 April 2013 and I am extremely grateful for the vital contribution he made to the organisation, especially during those important early days. He was a remarkable man and his colleagues on the board will miss him greatly. Our thoughts are with his wife and family at this time."
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Date 03/03/2015
What Is Left To Do On The Post-Crisis Bank Capital Framework? Speech Given By David Rule, Executive Director, Prudential Policy At The Institute Of International Bankers Annual Conference, Washington, 2 March 2015
Six and half years after the depths of the Great Financial Crisis, we know the shape of the future global bank capital framework. But important questions do remain. Today I want to focus on how regulators should measure risk in order to set capital requirements, with some final remarks on the particular case of securitisation.
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Date 03/03/2015
UK Financial Conduct Authority/ Financial Conduct Authority Statement: Strengthening Accountability In Banking
Following the publication of the joint FCA/PRA consultation papers in July and December 2014 on Strengthening Accountability in Banking, the Treasury has today announced that the commencement date for the new Senior Managers and Certification Regime (SM&CR) will be 7 March 2016 and that transitional documentation will need to be submitted to the regulators by 8 February 2016.
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Date 03/03/2015
TMX Group Consolidated Trading Statistics – February 2015
TMX Group today announced February, 2015 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TMX Select, Alpha, Montreal Exchange (MX) and NGX.
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Date 03/03/2015
Irish Stock Exchange Recognised As One Of The Best Workplaces In Ireland For 2015
The Irish Stock Exchange (ISE) has been named one of the best workplaces in Ireland in 2015 by the Great Place to Work (GPtW) Institute. The ISE received its 6th place award in the medium workplace category (organisations between 100 and 300 employees).
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Date 03/03/2015
EEX And EPEX SPOT: Statement On The Monopolies Commission Special Report On The Development Of Competition
Joint Statement by EEX and EPEX SPOT on the Monopolies Commission Special Report on the development of competition on the energy markets
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Date 03/03/2015
Federal Court In New York Imposes A $26 Million Civil Monetary Penalty Against Mark Evan Bloom And His Company, North Hills Management, LLC, For Commodity Pool Fraud - Bloom Pleaded Guilty In A Parallel Criminal Proceeding And Is Currently Awaiting Sentencing
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge John G. Koeltl of the U.S. District Court for the Southern District of New York entered a Supplemental Consent Order requiring Defendants Mark Evan Bloom of Monmouth Beach, New Jersey, and his firm North Hills Management, LLC (NHM) jointly to pay a $26 million civil monetary penalty for operating a fraudulent commodity pool called North Hills LP (North Hills) and misappropriating customer funds (see CFTC Press Release and Complaint 5622-09, February 25, 2009). The Supplemental Consent Order resolves the CFTC’s case in its entirety.
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