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SEC To Hold Equity Market Structure Advisory Committee Meeting On October 27

Date 29/09/2015

The Securities and Exchange Commission today announced that its Equity Market Structure Advisory Committee will hold its second meeting on October 27, beginning at 9:30 a.m. ET. The Commission established the advisory committee in February to provide a formal mechanism through which the Commission can receive advice and recommendations on equity market structure issues.
CFTC Orders Florida Resident Alan M. Kneller And His Company American Portfolio Asset Management, Inc. To Pay Restitution And A Civil Monetary Penalty Totaling More Than $578,000 In Precious Metals Enforcement Action - Order Also Permanently Bars Respondents From Trading On CFTC-Regulated Markets

Date 29/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Respondents American Portfolio Asset Management, Inc.(APAM), and its owner, Alan M. Kneller, both of Boca Raton, Florida. The CFTC Order charged Kneller and APAM with illegally offering off-exchange financed transactions in precious metals to retail customers and failing to register with the CFTC as a Futures Commission Merchant (FCM), as required.
SEC Charges UBS Puerto Rico And Two Individuals in Actions Relating To Former Broker’s Fraud - UBSPR Reaches $34 Million Settlement With SEC, FINRA

Date 29/09/2015

The Securities and Exchange Commission today charged UBS Financial Services Inc. of Puerto Rico and a former branch manager for failing to supervise a former broker who had customers invest in UBSPR affiliated mutual funds using money borrowed from a UBSPR affiliated bank. UBSPR and the bank prohibited using such loans to purchase securities and the practice exposed investors to losses while producing profits for the former UBSPR broker, the SEC alleged.
Nigerian Stock Exchange Mourns Dr Gamaliel Onosode, 82

Date 29/09/2015

The Nigerian Stock Exchange (NSE) today announces that it is in mourning following the demise of Nigeria’s first indigenous stockbroker, Dr. Gamaliel O. Onosode at the age of 82.
Thomson Reuters Third-Quarter 2015 Earnings Announcement And Webcast Scheduled For Friday, October 23, 2015- Conference Call And Webcast Scheduled For 8:30 a.m. EDT

Date 29/09/2015

Thomson Reuters (NYSE, TSX: TRI), the world’s leading source of intelligent information for businesses and professionals, announced today that its third-quarter 2015 earnings will be issued via news release on Friday, October 23, 2015.

CFTC Order Imposes A Monetary Penalty And Permanent Trading And Registration Bans Against Daniel Bowman For Violating Speculative Position Limits In Live Cattle Futures

Date 29/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Daniel Bowmanof Lisle, Illinois, for exceeding the spot month speculative position limit for the Live Cattle futures contract traded on the Chicago Mercantile Exchange (CME).
Abu Dhabi Securities Exchange To Organize A Conference Titled: “Transformation To Public Companies: A Vision TowardTthe Future” - Next October - Rashed Al Baloushi - “The Most Pressing Challenge That Private Companies And Family Institutions Currently Operating In The UAE” - “A Step That Reflects Abu Dhabi Securities Exchange’s Future Strategy”

Date 29/09/2015

Abu Dhabi Securities Exchange has announced that it plans to hold its annual conference for the year 2015 under the title “Transformation to Public Companies: A Vision toward the Future”. The Conference will take place on Monday, October 26th this year under the auspices of His Excellency / Hamad Abdulla Al Shamsi, Chairman of the Board of Directors of Abu Dhabi Securities Exchange.
The Single Rulebook In banking: Is It ‘Single’ Enough? Andrea Enria Chairman Of The European Banking Authority, Università di Padova, 28 September 2015

Date 29/09/2015

Andrea Enria, Chairperson of the EBA, gave a lecture on "The Single Rulebook in banking: is it ‘single’ enough?" at the University of Padova.
TheCityUK: EU Reform Takes Centre Stage

Date 29/09/2015

EU reform is high on the agenda and will likely remain centre stage over the coming year.
Moscow Exchange To Launch Index Of State-Owned Companies

Date 29/09/2015

Economy Ministry of Russia, the Federal Agency for State Property Management (Rosimuschestvo) and Moscow Exchange have signed a cooperation agreement to create two new equity market benchmarks, indices of publicly-traded companies where the Russian state has an ownership stake. The document was signed by Deputy Minister of Economic Development Nikolay Podguzov, Deputy Minister of Economic Development and Rosimuschestvo Head Olga Dergunova and Moscow Exchange Deputy CEO Andrey Shemetov.