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Date 26/03/2015
Former United Commercial Bank Chief Credit Officer Convicted Of Securities And Other Corporate Fraud After Trial - The Fraud Caused The Ninth Largest Bank Failure With Estimated Losses In Excess Of $677 Million
A jury convicted Ebrahim Shabudin yesterday of seven felony counts of conspiracy, securities fraud and other corporate fraud offenses stemming from the failure of United Commercial Bank (UCB), announced U.S. Attorney Melinda Haag of the Northern District of California, Acting Inspector General Fred W. Gibson Jr. of the Federal Deposit Insurance Corporation’s Office of the Inspector General, Special Inspector General Christy Romero of the Troubled Asset Relief Program, Inspector General Mark Bialek of the Board of Governors of the Federal Reserve System and the Consumer Financial Protection Bureau’s Office of the Inspector General and Special Agent in Charge David J. Johnson of the FBI’s San Francisco Division.
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Date 26/03/2015
NZX: Smartshares To Launch 3 New Exchange Traded Funds
Smartshares, NZX’s Exchange Traded Funds (ETFs) business, is pleased to announce it has registered a prospectus for the launch of three new ETFs to complement to its existing seven Smartshares ETFs.
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Date 26/03/2015
Supreme Court Of Canada Denies Alberta Securities Commission’s Leave To Appeal Illegal Insider Trading Case
The Supreme Court of Canada has denied an Alberta Securities Commission (ASC) application for leave to appeal a decision of the Alberta Court of Appeal, Walton v. Alberta (Securities Commission). The ASC was seeking the Supreme Court’s guidance on the standard of proof and evidence required to prove illegal insider trading allegations and on the resulting determination of sanctions.
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Date 26/03/2015
NZX Annual Report 2014 Published
NZX today issued its Annual Report for the year ended 31 December 2014. NZX’s online Annual Report can be accessed at the following link, and a PDF copy of the printed version is attached to this announcement.
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Date 26/03/2015
Benjamin M. Lawsky, Superintendent Of Financial Services Letter To Insurers On Cyber Security
Dear Chief Executive Officer, General Counsel, and Chief Information Officer:
In an effort to promote greater cyber security across the financial services industry, the New York State Department of Financial Services (the "Department") has expanded its information technology ("IT") examination procedures to focus more attention on cyber security. The Department encourages all institutions to view cyber security as an integral aspect of their overall risk management strategy, rather than solely as a subset of information technology. To that end, the Department intends to incorporate new questions and topics into the existing IT examination framework.
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Date 26/03/2015
CBOE, C2 And CFE Trading Schedule For The Good Friday Holiday
CBOE Holdings, Inc. (NASDAQ: CBOE) today announced the trading schedule for Chicago Board Options Exchange®(CBOE®), C2 Options Exchange (C2) and CBOE Futures Exchange (CFE®) in observance of the Good Friday holiday on April 3.
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Date 26/03/2015
FINRA Sanctions Oppenheimer & Co. $3.75 Million For Supervisory Failures - FINRA Sanctions Oppenheimer & Co. $3.75 Million For Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $2.5 million and ordered the firm to pay restitution of $1.25 million for failing to supervise Mark Hotton, a former Oppenheimer broker who stole money from his customers and excessively traded their brokerage accounts. FINRA permanently barred Mark Hotton from the securities industry in August 2013.
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Date 26/03/2015
Finansinspektionen - Swedish Financial Supervisory Authority - Supervision Of The Securities Market
Three key areas are the focus of FI's new report Supervision of the securities market; financial infrastructure, transparency on the securities market as well as new rules for market supervision and the enforcement of financial information.
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Date 26/03/2015
Tel Aviv Stock Exchange Weekly Review: 22-26 March 2015
Trading on the Tel Aviv Stock Exchange (TASE) during the fourth week of March was marked by a mix trend for TASE indices; Continued offerings in the bond market Bank Hapoalim raised US $753 million in a public bond offering
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Date 26/03/2015
Meeting Of The Financial Stability Board In Frankfurt On 26 March
At its meeting today, the FSB welcomed five institutions as Plenary members – the ministries of finance for Argentina, Indonesia, Saudi Arabia and Turkey and the South African Reserve Bank. Increased representation for emerging markets delivers a key objective of the FSB’s review of the structure of its representation last year.
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