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Innovation Hub: ASIC Update

Date 05/08/2015

ASIC’s Innovation Hub has got off to a strong start, with 32 external meetings with new fintech businesses and industry organisations since it was established.
New York State Department Of Financial Services: Report On Investigation Of Promontory Financial Group, LLC

Date 05/08/2015

The New York State Department of Financial Services (the “Department”) was created in 2011 to help ensure the safety and soundness of New York’s banking, insurance and financial services industries, to help ensure prudent conduct by providers of financial products and services, and to promote the reduction and elimination of unethical conduct by and with respect to banking, insurance and other financial services institutions. Pursuant to this mandate, on September 4, 2013, the Department undertook an investigation into Promontory Financial Group, LLC (“Promontory”). The conduct in question relates to reports that Promontory prepared and submitted to the Department in 2010-2011 detailing the findings of its review of certain transactions by Standard Chartered Bank (“Standard Chartered” or the “Bank”), an institution regulated by the Department.
ASIC Releases Enforcement Report For The First Half Of 2015

Date 05/08/2015

ASIC today released its enforcement report for the period 1 January 2015 to 30 June 2015.
MNI Indicators: Chinese Consumers More Upbeat On Buying Cars - More Than 20% Of Respondents Plan To Buy A Car In Next 12 Month

Date 05/08/2015

Chinese consumers were increasingly optimistic about the car buying environment in July as the proportion of respondents planning to purchase a car rose to the highest since the series began in March 2012.
ASIC: Ausbil To Pay $18 Million In Compensation To Investors

Date 05/08/2015

Ausbil Investment Management Limited (Ausbil) in its capacity as responsible entity of the Ausbil Investment Trusts – Australian Emerging Leaders Fund (Fund) is in the process of remediating a fee error to affected investors. An overcharging of fees of approximately $18m occurred between December 2004 and January 2014 due to an inconsistency between the fees outlined in the Fund's Product Disclosure Statement and the fees permitted under the Fund's constitution.

NZX: July 2015 Shareholder Metrics

Date 05/08/2015

Please find attached Shareholder Metrics for July 2015.
Dodd-Frank At Five: A Capital Markets Swan Song, SEC Commissioner Daniel M. Gallagher, U.S. Chamber of Commerce, Washington, D.C., Aug. 4, 2015

Date 04/08/2015

Thank you, David [Hirschmann] for that overly kind introduction. I appreciate the invitation to speak to you today. This will likely be my last formal speech as an SEC Commissioner, and I can think of no better audience than the Chamber’s Center for Capital Markets Competitiveness. The Center has remained a zealous and effective advocate for capital formation and free markets during a period in which these bedrocks of our economy have constantly been under attack, and it is an honor to be here today to share my thoughts with you. It is also special to have Commissioner Piwowar here today. I would like to thank him for his friendship and collegiality during our time together on the Commission.
Moscow Exchange: Risk Parameters Change On Securities Market From August 11, 2015

Date 04/08/2015

Risk Parameters for the following instruments will be changed starting from August 11, 2015:
Office of Financial Research Update: "A Comparison Of U.S. And International Global Systemically Important Banks"

Date 04/08/2015

The OFR released a brief today entitled, "A Comparison of U.S. and International Global Systemically Important Banks." Among global systemically important banks (G-SIBs), U.S. banks rank high in systemic importance relative to foreign banks. G-SIBs with higher systemic importance scores do not consistently have higher risk-based capital ratios, despite the importance of capital as a buffer against failure.
ISDA Americas Credit Derivatives Determinations Committee: Alpha Appalachia Holdings, Inc. Bankruptcy Credit Event

Date 04/08/2015

The International Swaps and Derivatives Association, Inc. (ISDA) today announced that its Americas Credit Derivatives Determinations Committee resolved that a bankruptcy credit event occurred in respect of Alpha Appalachia Holdings, Inc.(formerly known as Massey Energy Company).