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SEC Identifies More Alleged Corrupt Brokers In Stock Manipulation Case
Date 04/11/2015
The Securities and Exchange Commission today announced it has identified three additional individuals to charge in a penny stock manipulation case the agency filed last year against alleged corrupt brokers and others.
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Federal Reserve Board Announces Civil Money Penalty And Issues Cease And Desist Order Against Deutsche Bank AG
Date 04/11/2015
The Federal Reserve Board on Wednesday announced a $58 million penalty and consent cease and desist order against Deutsche Bank AG, of Frankfurt, Germany, related to violations of U.S. sanctions. The order requires Deutsche Bank to implement an enhanced program to ensure global compliance with U.S. sanctions administered by the U.S. Department of Treasury's Office of Foreign Assets Control.
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Dubai Financial Services Authority Fines ABN AMRO For Anti-Money Laundering Deficiencies
Date 04/11/2015
The Dubai Financial Services Authority (DFSA) has imposed a fine of USD 640,000 (AED 2,350,720) on ABN AMRO Bank N.V. DIFC Branch (ABN).
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EBRD: Key Government Role Seen For Southern And Eastern Mediterranean Capital Market Development
Date 04/11/2015
Government engagement and political leadership have a key role to play in the development of capital markets in the southern and eastern Mediterranean region, according to a new report from the European Bank for Reconstruction and Development and the Arab Monetary Fund (AMF).
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2015 National Society Of Compliance Professionals, National Conference: Keynote Address, Andrew Ceresney, Director, SEC Division Of Enforcement, Washington, D.C., Nov. 4, 2015
Date 04/11/2015
Good morning. Thank you for inviting me to speak to you today. Before I begin my remarks, let me give the necessary disclaimer that the views I express here today are my own and do not necessarily represent the views of the Commission or its staff.
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EBA Finds Further Increase In EU Banks Capital Ratios In 2015
Date 04/11/2015
In its risk dashboard for the EU banking sector published today, the European Banking Authority (EBA) gives an overview of the health of EU banks for the second quarter of 2015. While capital ratios have increased, the quality of loan portfolios remains weak, but EU banks profitability has increased compared to 2014. The EBA risk dashboard summarises the main risks and vulnerabilities in the banking sector on the basis of the evolution of a set of key risk indicators across the EU.
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ESMA Publishes Responses To The Consultation On Draft Implementing Technical Standards Under MiFID II
Date 04/11/2015
The European Securities and Markets Authority (ESMA) has published the responses received to the Consultation on
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Risk Focus Partners With Kaizen To Deliver ‘MiFIR Readiness’ Validation Tool
Date 04/11/2015
Risk Focus, a leading provider of Regulatory Trade Reporting solutions to the global capital markets, has engaged Kaizen Reporting, a leading regulatory reporting testing and compliance firm, to certify its forthcoming MiFIR Validation Module (MiFIR.Validate.Trade). Kaizen’s certification brings credibility to the solution, which will be ready for deployment by Q1 2016 - nearly a full year ahead of MiFID II implementation.
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Mylan Management Celebrated Its Dual Listing At The Tel Aviv Stock Exchange By Taking Part In The Opening Bell Ceremony
Date 04/11/2015
This morning, (4.11.15), Mylan management celebrated its Dual Listing at the Tel Aviv Stock Exchange by taking part in the Opening Bell Ceremony.
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European Commission - Speech Given By Commissioner Jonathan Hill, Commissioner For Financial Stability, Financial Services And Capital Markets Union, At The European Central Bank Forum On Banking Supervision - "Bank Supervision: Europe In Global Context"
Date 04/11/2015
I am delighted to be here on the first anniversary of the Single Supervisory Mechanism (SSM). That gives me the ideal opportunity to congratulate Mme Nouy and her team for all that she and they have done in getting Europe's single supervisor off the ground in record time. So much so that it is easy to forget that this only a year ago that the SSM took over the supervision of some 6000 banks. The transition of supervisory tasks from national authorities has been remarkably smooth. Today, the SSM feels so much part of the furniture that it is impossible now to imagine life without it.
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