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  • CFTC Commitments Of Traders Reports Update

    Date 18/12/2015

    The current reports for the week of December 15, 2015 are now available.

  • US Justice Department Announces Joint Resolution With Two Banks Under Swiss Bank Program

    Date 18/12/2015

    The Department of Justice announced today that Edmond de Rothschild (Suisse) SA and Edmond de Rothschild (Lugano) SA (collectively EdR Switzerland) reached a joint resolution under the department’s Swiss Bank Program.  EdR Switzerland will pay a penalty of more than $45 million.

  • FINRA Sanctions Fidelity Brokerage Services LLC $1 Million For Supervisory Failures - Firm Failed To Follow Up On Red Flags To Detect Or Prevent Theft Of Funds From Senior Investors By Fraudster Posing As Fidelity Broker

    Date 18/12/2015

    The Financial Industry Regulatory Authority (FINRA) announced today that it fined Fidelity Brokerage Services LLC $500,000 and ordered the firm to pay nearly $530,000 in restitution for failing to detect or prevent the theft of more than $1 million from nine of its customers, eight of whom were senior citizens. Lisa Lewis posed as a Fidelity broker, obtained her victims' personal information, and systematically stole customer assets through numerous transfers and debit-card transactions.

  • SEC Issues Staff Report On Accredited Investor Definition

    Date 18/12/2015

    The Securities and Exchange Commission today issued a staff report on the accredited investor definition.  The Dodd-Frank Wall Street Reform and Consumer Protection Act directs the Commission to review the accredited investor definition as it relates to natural persons every four years to determine whether the definition should be modified or adjusted.  Staff from the Divisions of Corporation Finance and Economic and Risk Analysis prepared the report in connection with the first review of the definition.

  • SIFMA Statement On Passage Of Cybersecurity And Tax Provisions In Omnibus/Tax Extender Package

    Date 18/12/2015

    Today, SIFMA president and CEO Kenneth E. Bentsen, Jr. issued the following statement on the passage of the FY 2016 Omnibus Appropriations Act, which included the Cybersecurity Information Sharing Act (CISA), and the tax extenders package, which were voted on separately in the House and combined into one bill for Senate passage:

    “We commend Congress for taking bipartisan action on the critically important issue of cybersecurity and moving forward, after years of effort, a voluntary, workable cyber threat information sharing bill to the President’s desk. Cyber threats posed by criminals, hacktavists, nation states and terrorists are among the most serious threats facing the financial services industry and our nation’s economic prosperity. SIFMA’s recent Quantum Dawn 3 cybersecurity exercise validated the importance of public-private information sharing in responding to a cyber attack that could disrupt confidence in the financial system and broader economy.” 

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