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  • ASX Compliance Monthly Activity Report – May 2015

    Date 03/06/2015

    New listings for the month were Australian Finance Group Ltd (AFG), Crusade ABS Series 2015-1 Trust (CUH), Future Fibre Technologies Limited (FFT), IQ3Corp Limited (IQ3), Medallion Trust Series 2014-2 (MZB), Medallion Trust Series 2015-1 (MZA), MYOB Group Limited (MYO), National RMBS Trust 2015-1 (NAJ), South32 Limited (S32), Wealth Defender Equities Limited (WDE) and XPD Soccer Gear Group Limited (XPD).

  • NZX May 2015 Shareholder Metrics

    Date 03/06/2015

    Please find attached Shareholder Metrics for May 2015.

  • SIFMA Proposes Best Interests Standard For Broker-Dealers As A Workable Solution To DOL's Fiduciary Proposal

    Date 03/06/2015

    Today, SIFMA president and CEO Kenneth E. Bentsen, Jr. announced the industry’s “Proposed Best Interests of the Customer Standard for Broker-Dealers,” which, if adopted, would establish a best interests standard for broker-dealers serving retail clients. This proposal follows the industry’s long established support for such a standard.

  • US Department Of Justice: Four People Arrested And Charged In Cross-Country Insider Trading Scheme

    Date 03/06/2015

    The owner and operator of a stock trading operation and three of his associates were arrested today on charges arising from their alleged participation in a multi-year insider trading scheme that netted more than $3.2 million in illicit profits, announced today by U.S. Attorney Paul J. Fishman for the District of New Jersey.

  • SIFMA President And CEO Kenneth E. Bentsen, Jr. Remarks As Prepared For The SIFMA DOL Fiduciary Seminar

    Date 03/06/2015

    Good morning. I am Ken Bentsen, president and CEO of SIFMA. I want to thank you all for joining us at the SIFMA Conference Center today as we discuss a very complex but extremely consequential matter. I want to take a moment to thank all of our panelists who have taken the time to present today and my staff and colleagues, in particular Lisa Bleier and Jillian Enoch. And of course thank all of you both in the room and by web for participating.