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Date 26/06/2013
Elaine C. Greenberg To Leave SEC After More Than 25 Years
The Securities and Exchange Commission today announced that Elaine C. Greenberg, Chief of the Enforcement Division’s Municipal Securities and Public Pensions Unit and Associate Director of the Philadelphia Regional Office, is leaving the agency after more than 25 years of service.
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Date 26/06/2013
Nordic Growth Market NGM AB: NGM Welcomes SG Issuer As New Issuer At NDX
Nordic Growth Market (NGM) is proud to announce that SG Issuer has become a new issuer at NDX. SG Issuer’s first listing took place on June 24, 2013.
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Date 26/06/2013
Balance Of Interests - Speech By Martin Wheatley, Chief Executive, The FCA, At The International Derivatives Expo, London
Thank you for that kind introduction Anthony. It’s a pleasure to be here today and to share in your discussions.
This is a good and a bad time for a regulator to be speaking at a major derivatives conference.
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Date 26/06/2013
Bursa Malaysia Derivatives' Total Contracts Hit Daily Historical High
The volumes traded on Bursa Malaysia Derivatives (BMD) reached a new historical high of 87,123 contracts on Tuesday, 25 June 2013, surpassing the previous record of 84,359 contracts achieved on 29 October 2012. The volumes include Negotiated Large Trades.
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Date 26/06/2013
Finansinspektionen (FI) Swedish Financial Supervisory - ICA Banken AB Receives A Remark
ICA Banken AB did not report to Finansinspektionen (FI) that the Bank had a new owner, which it is obligated to do. As a result of this breach, the Bank is receiving a remark.
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Date 26/06/2013
Statement By European Commissioner Michel Barnier Following Today's Agreement On European Rules On Market Abuse
I welcome today's endorsement by Coreper of the political agreement between the Council and the European Parliament on tougher rules to better prevent, detect and punish market abuse. While key elements of the scope of the Market Abuse Regulation will need to be aligned with the political agreement on our related MIFID 2 proposals, it's my belief that we now have all the elements for a final agreement on this text which is essential for market integrity in Europe.
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Date 26/06/2013
UK’s Financial Conduct Authority Sponsors London Stock Exchange As A Pre-Local Operating Unit
- London Stock Exchange will assign interim Legal Entity Identifiers
- Interim Entity Identifier codes will satisfy new reporting requirements under EMIR
- UnaVista expected to start allocating new IEI codes from July 2013
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Date 26/06/2013
Knight Capital Group And GETCO Announce Approvals Of Merger At Respective Special Meetings - Regulatory Approvals Of Merger Received From FINRA And FCA - Currently Scheduled Closing Date Of July 1, 2013 - Preliminary Results Of Knight Stockholder Cash/Stock Election
Knight Capital Group, Inc. (NYSE Euronext: KCG) ("Knight") and GETCO Holding Company, LLC ("GETCO") announced that at the special meetings held yesterday, the companies' respective stockholders and unitholders approved the adoption of the merger agreement dated as of December 19, 2012 and amended and restated as of April 15, 2013 among KCG Holdings, Inc. ("KCG") (formerly known as Knight Holdco, Inc.), Knight, GETCO, and the other parties thereto. In addition, regulatory approvals required under the merger agreement were received from the Financial Industry Regulatory Authority (FINRA) and the UK's Financial Conduct Authority (FCA). The transaction, which remains subject to customary closing conditions, is currently scheduled to close on Monday, July 1, 2013.
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Date 26/06/2013
FINRA Fines StateTrust Investments $1 Million And Orders $353,000 In Restitution For Charging Unfair Prices In Fraudulent Bond Transactions - Head Trader And Chief Compliance Officer Fined And Suspended
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined StateTrust Investments, Inc. $1.045 million and sanctioned the firm's head trader, Jose Luis Turnes, for charging excessive markups and markdowns in fraudulent corporate bond transactions. FINRA also ordered StateTrust to pay more than $353,000 in restitution, plus interest, to customers who received unfair prices. In addition, Turnes was suspended for six months and fined $75,000. In a related action in April 2012, Jeffrey Cimbal, StateTrust's Chief Compliance Officer, was fined $20,000 and suspended for five months in a principal capacity for failing to supervise Turnes.
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Date 26/06/2013
ESMA Seeks New Members For Its Securities Markets Stakeholders Group
The European Securities and Markets Authority (ESMA) is seeking new members for the Securities and Markets Stakeholder Group (SMSG), as the current members’ term expires at the end of 2013. The SMSG’s aim is to facilitate ESMA’s consultation on its work with relevant securities markets stakeholders from around the European Union (EU).
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