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Westpac MNI China Consumer Sentiment Rises Further In September - Consumers Brush Off Stock Market Declines With Sentiment Hitting Highest Level Since May 2014

Date 30/09/2015

In contrast to the global barrage of negativity surrounding China’s economic fortunes, ordinary Chinese consumers have become increasingly upbeat. Following a minor setback early in Q2, consumer confidence has been steadily improving since October’s trough last year and rose for the fourth consecutive month in September.
SPG And SPGI Director Pleads Guilty To New Zealand's Financial Markets Authority Charges

Date 30/09/2015

Former company director and financial adviser, Andrew Hrothgar Robinson, has today pleaded guilty to charges brought by the Financial Markets Authority (FMA), relating to his involvement as director of Strategic Planning Group Limited (SPG) and SPG Investment Company No.1 Limited (SPGI).
Alberta Securities Commission: Joseph Bucci Sentenced To 18 Months For Role In “Pump And Dump” Scheme

Date 29/09/2015

Joseph Gaetano Bucci, president and CEO of Coastal Pacific Mining Corp., has pled guilty to acting as a dealer of securities without registration, not filing a prospectus, and engaging in a course of conduct that resulted in a false appearance of trading activity and an artificial price for the Coastal Pacific securities. Provincial Court Judge Skene accepted the pleas and sentenced Bucci to an 18 month conditional sentence.
CFTC To Issue Whistleblower Award Of Approximately $290,000 - Whistleblower Provided Valuable Information About Violations Of The Commodity Exchange Act, Which Resulted In An Enforcement Action

Date 29/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it will make an award of approximately $290,000 to a whistleblower for providing valuable information about violations of the Commodity Exchange Act (CEA).
FINRA Sanctions UBS Puerto Rico $18.5 Million For Supervisory Failures Regarding Sales Of Puerto Rican Closed-End Funds And Related Loans

Date 29/09/2015

The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined UBS Financial Services Incorporated of Puerto Rico (UBS PR) $7.5 million for supervisory failures related to the suitability of transactions in Puerto Rican closed-end fund (CEF) shares. In addition, FINRA ordered UBS PR to pay approximately $11 million in restitution to 165 customers who were forced to realize losses on their CEF positions.

SEC Names William Royer to Lead Exam Program in Atlanta Office

Date 29/09/2015

The Securities and Exchange Commission today announced that William Royer has been named the new head of the examination program in the Atlanta Regional Office.
SIFMA's Bleier Urges Reproposal Of DOL's Retirement Regulation At IMCA Conference

Date 29/09/2015

SIFMA's managing director and associate general counsel Lisa Bleier today offered closing remarks on the impact of the Department of Labor's fiduciary rule proposal at the "Focus on Fiduciary" event hosted by the Investment Management Consultants Association (IMCA) at the National Press Club in Washington, DC. Bleier's full prepared remarks can be found here: http://www.sifma.org/news/news.aspx?id=8589956785
SEC Charges Investment Adviser With Fraud

Date 29/09/2015

The Securities and Exchange Commission today announced fraud charges against a registered investment adviser and its owner for allegedly engaging in self-dealing and failing to disclose material facts to clients regarding conflicts of interest, use of investor funds, and the risks of the investments they recommended.
CFTC Orders Florida Resident Barbara Cohen And Her Company, Pure Reason, LLC, To Pay A $140,000 Penalty For Cohen’s False Statements To The CFTC And For Not Disclosing That Profitable Trading Results Were Based On Hypothetical Trading

Date 29/09/2015

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges that Barbara Cohen of Tarpon Springs, Florida, made false statements of material fact to CFTC staff and that the website of Cohen’s company, Pure Reason, LLC (Pure Reason), promoted Pure Reason’s trading software by demonstrating profitable trading results without disclosing that these results were based on hypothetical, and not actual, trading. The CFTC Order requires Cohen and Pure Reason jointly to pay a $140,000 civil monetary penalty.
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.