FIFA today announced that its Secretary General Jérôme Valcke has been put on leave and released from his duties effective immediately until further notice. Further, FIFA has been made aware of a series of allegations involving the Secretary General and has requested a formal investigation by the FIFA Ethics Committee.
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Date 18/09/2015
CFTC Orders Australia And New Zealand Banking Group Ltd. To Pay A $150,000 Penalty For Inaccurate Large Trader Reports For Physical Commodity Swap Positions
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Australia and New Zealand Banking Group Ltd. (ANZ), an Australia-based financial services company, for failing to comply with its obligation to submit accurate large trader reports (LTRs) for physical commodity swap positions, in violation of Section 4s(f) of the Commodity Exchange Act (CEA) and CFTC Regulations 20.4 and 20.7. The CFTC Order requires ANZ to pay a $150,000 civil monetary penalty and to cease and desist from committing further violations of the CEA and CFTC Regulations, as charged.
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Date 18/09/2015
CFTC Orders Indiana Resident Terry Lee Phillips And His Two Companies To Pay Restitution And A Civil Monetary Penalty Totaling More Than $234,000 For Fraud And Misappropriation
The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Terry Lee Phillips of Indianapolis, Indiana, and his two companies, Phillips Investment & Trust LLC and Corporate I Communications & Technology Inc. (the Respondents), charging them with defrauding investors who provided funds to Phillips to trade commodity futures in a designated contract market. In addition, none of the Respondents has ever been registered with the CFTC, as required.
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Date 18/09/2015
US Equities Industry ADV In August 2015 Was 7.9 Bn, Highest In Four Years, According To TABB Equities LiquidityMatrix For August 2015
US equities industry average daily volume in August 2015 was 7.9 billion, the highest in four years, says TABB Group research analyst Valerie Bogard, who compiles and analyzes the TABB Equities LiquidityMatrix™.
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Date 18/09/2015
FINRA Board Approves Rulemaking Item To Protect Seniors And Other Vulnerable Adults From Financial Exploitation
The Financial Industry Regulatory Authority (FINRA) announced that its Board of Governors approved a rulemaking item to help firms better protect seniors and other vulnerable adults from financial exploitation. The proposal would allow a firm to place a temporary hold on a disbursement of funds or securities and notify a customer's trusted contact when the firm has a reasonable belief that financial exploitation is occurring.
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Date 18/09/2015
CFTC Orders Bitcoin Options Trading Platform Operator And Its CEO To Cease Illegally Offering Bitcoin Options And To Cease Operating A Facility For Trading Or Processing Of Swaps Without Registering - In First Action Against An Unregistered Bitcoin Options Trading Platform, CFTC Holds That Bitcoin And Other Virtual Currencies Are A Commodity Covered By The Commodity Exchange Act
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Coinflip, Inc. d/b/a Derivabit (Coinflip) and its chief executive officer Francisco Riordan for conducting activity related to commodity options transactions without complying with the Commodity Exchange Act (CEA) and CFTC Regulations, specifically, by operating a facility for the trading or processing of commodity options without complying with the CEA or CFTC Regulations otherwise applicable to swaps or conducting the activity pursuant to the CFTC’s exemption for trade options. Coinflip is based in San Francisco, California, and Riordan resides in San Francisco.
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Date 17/09/2015
SEC Charges Florida-Based CPA With Fraud For Issuing Bogus Audit Opinions - CFO And Convicted Felon Also Charged
The Securities and Exchange Commission today imposed sanctions against a Florida-based certified public accountant for performing deficient and fraudulent audits and quarterly reviews for eight publicly traded companies, and issuing false and misleading audit opinions on the companies’ annual financial statements.
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Date 17/09/2015
Remarks At The AICPA National Conference On Banks And Savings Institutions, James Schnurr, SEC Chief Accountant, Washington, D.C. , Sept. 17, 2015
Thank you for the kind introduction and the invitation to speak with you today. Before I begin, let me remind you that the views expressed today are my own and not necessarily those of the Commission, the individual Commissioners, or other colleagues on the Commission staff.
Today, I would like to share my thoughts and perspectives on some of our office’s key priorities — implementation of the new revenue recognition standard, the upcoming release of the FASB’s new credit impairment standard, and current thinking with respect to IFRS.
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Date 17/09/2015
FIFA Press Statement On Secretary General Jérôme Valcke
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Date 17/09/2015
IIROC Works With CSA To Improve Access To Fixed Income Information
The Investment Industry Regulatory Organization of Canada (IIROC) is pleased that the Canadian Securities Administrators (CSA) will work with IIROC to enhance fixed income regulation and increase post-trade transparency.
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Date 17/09/2015
SEC Charges Clearing Firm Officials For Improper Margin Loans, Accounting And Disclosure Failures
The Securities and Exchange Commission today announced charges against four former clearing firm officials for their roles in a series of accounting and disclosure failures stemming from decisions to extend credit to certain customers beyond what is allowed under the federal securities laws.
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