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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™.
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.
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.
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.
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.

Date 17/09/2015

FIFA Press Statement On Secretary General Jérôme Valcke
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.
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.
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.
Date 17/09/2015

Canadian Securities Regulators Seek Comments On Enhancing Regulation And Transparency In The Fixed Income Market

The Canadian Securities Administrators (CSA) today published for comment CSA Staff Notice 21-315 Next Steps in Regulation and Transparency of the Fixed Income Market, which describes the CSA’s plan to enhance fixed income regulation.
Date 17/09/2015

US Justice Department Announces Two Banks Reach Resolutions Under Swiss Bank Program

The Department of Justice announced today that St. Galler Kantonalbank AG (SGKB) and E. Gutzwiller & Cie, Banquiers, have reached resolutions under the department’s Swiss Bank Program. These banks will collectively pay penalties totaling more than $11 million.