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CalPERS Comments On Federal Sentencing Of Former CEO Fred Buenrostro

Date 31/05/2016

The California Public Employees' Retirement System (CalPERS) today issued the following statements on the sentencing of its former Chief Executive Officer (CEO), Fred Buenrostro, in federal court in San Francisco on bribery charges. Mr. Buenrostro served as CEO of CalPERS from 2002 to 2008.
SEC Halts Ponzi Scheme Aimed At Middle Class

Date 31/05/2016

The Securities and Exchange Commission has charged two California men and their investment firm with operating a Ponzi scheme as they purported to specialize in serving middle-class investors and securing exorbitant returns by investing in hot pre-IPO stocks. The agency also obtained a court-ordered asset freeze against them.
BOX Options Exchange: Changes To The BOX Fee Schedule

Date 31/05/2016

Click here to download details of changes to the BOX fee schedule.
Statement Of CFTC Chairman Timothy Massad On No-Action Letter Shanghai Clearing House

Date 31/05/2016

I am pleased that CFTC staff has granted important no-action relief to Shanghai Clearing House. As of today, Shanghai Clearing House will be allowed to temporarily clear certain swaps that are subject to mandatory clearing in China. This relief is intended as an interim measure, as Shanghai Clearing House intends to seek a permanent order exempting it from registration with respect to such swap clearing. It follows months of work between our respective staffs as well as the staff of the People’s Bank of China (PBOC). We welcome this new relationship and look forward to continued collaboration.
SEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds

Date 31/05/2016

The Securities and Exchange Commission today charged a Nashville, Tenn.-based investment advisory firm and its owner with scheming to collect extra monthly fees from a pair of hedge funds they managed.

CFTC’s Division Of Clearing And Risk Issues No-Action Letter For Shanghai Clearing House

Date 31/05/2016

The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Clearing and Risk (DCR) today issued a time-limited no-action letter stating that DCR will not recommend that the CFTC take enforcement action against Shanghai Clearing House (SHCH) for failing to register as a derivatives clearing organization (DCO) pursuant to the Commodity Exchange Act (CEA).
U.S. Department Of The Treasury: Report On Foreign Portfolio Holdings Of U.S. Securities At End-June 2015

Date 31/05/2016

The final results from the annual survey of foreign portfolio holdings of U.S. securities at the end of June 2015 were released today on the Treasury website at http://www.treasury.gov/resource-center/data-chart-center/tic/Pages/fpis.aspx. The survey was undertaken jointly by Treasury, the Federal Reserve Bank of New York, and the Board of Governors of the Federal Reserve System. The next survey will cover holdings at the end of June 2016; preliminary data are expected to be released by February 28, 2017.
SEC: Mortgage Company And Executives Settle Fraud Charges

Date 31/05/2016

The Securities and Exchange Commission today announced that a California-based mortgage company and six senior executives agreed to pay $12.7 million to settle charges that they orchestrated a scheme to defraud investors in the sale of residential mortgage-backed securities guaranteed by the Government National Mortgage Association (Ginnie Mae).
S&P Dow Jones Indices Market Attributes: Europe Index Dashboard

Date 31/05/2016

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IIROC Publishes Guidance And Resources To Help Protect Senior Investors

Date 31/05/2016

In conjunction with Seniors' Month in June, the Investment Industry Regulatory Organization of Canada (IIROC) is publishing guidance for IIROC-regulated firms as well as educational materials for investors and advisors.