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DTCC's Legal Entity Idenitifier Service, The GMEI Utility, Gathers Significant Momentum In 2014 - DTCC Collaborates With Global LEI System Stakeholders To Drive Growth Of System And The GMEI Utility

Date 09/02/2015

The Depository Trust & Clearing Corporation’s (DTCC) Global Markets Entity Identifier (GMEI) utility, offered in collaboration with SWIFT, today announces that it has issued over 165,000 legal entity identifiers (LEIs) to entities from over 140 jurisdictions, representing approximately 50% share of the LEIs issued worldwide.
ISDA Americas Credit Derivatives Determinations Committee: RadioShack Bankruptcy Credit Event

Date 09/02/2015

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 RadioShack Corporation.
New York Attorney General Eric T. Schneiderman Announces Arrest And Indictment Of New Jersey Broker In $1 Million Securities Fraud Case - Khawaja Saud Masud Charged With Grand Larceny And Securities Fraud For Fraudulently Soliciting Investment In His Purported Hedge Fund - Masud Promised To Conservatively Invest The Victims’ Retirement Monies, But Instead Incurred Losses Of Almost $1 Million In Just Three Months - Schniederman: My Office Will Hold Brokers Who Commit Securities Fraud Accountable

Date 09/02/2015

Attorney General Eric T. Schneiderman announced today felony charges against Khawaja Saud Masud, 37, of Jersey City, NJ, for stealing over $1 million from a retired pediatrician and his wife by fraudulently soliciting them to invest in his purported hedge fund, RKS Capital, LP. The defendant is charged with Grand Larceny in the First Degree (a Class B felony) and Securities Fraud under the Martin Act (a Class E felony) and faces up to 25 years in prison.
Jennifer Flitton Joins SIFMA Public Policy And Advocacy Team

Date 09/02/2015

The Securities Industry and Financial Markets Association (SIFMA) today announced the hiring of Jennifer (Mundy) Flitton as managing director of federal government affairs. Ms. Flitton joins SIFMA's public policy and advocacy team from the office of Congressman Patrick McHenry where she served as the deputy chief of staff for almost nine years.
Green Key Technologies: Former Goldman Sachs VP, Global Head Of Development- Network & Voice, Joins "Software Turret" Maker Green Key Technologies

Date 09/02/2015

Green Key Technologies, provider of voice software designed specifically for traders, announced today the hiring of Steve Van Deusen as Director of Compliance Technology.

Aligning The Interests Of Company Executives And Directors With Shareholders, SEC Commissioner Luis A. Aguilar

Date 09/02/2015

Today, the Commission issued proposed rules on Disclosure of Hedging by Employees, Officers and Directors. These congressionally-mandated rules are designed to reveal whether company executive compensation policies are intended to align the executives’ or directors’ interests with shareholders. As required by Section 955 of the Dodd-Frank Act, these proposed rules attempt to accomplish this by adding new paragraph (i) to Item 407 of Regulation S-K, to require companies to disclose whether they permit employees and directors to hedge their companies’ securities.
CME Group Inc. Names Slate Of Director Nominees

Date 09/02/2015

CME Group today announced its slate of candidates for its board of directors for election at the company's annual meeting to be held Wednesday, May 20, 2015.
Joint Statement On The Commission’s Proposed Rule On Hedging Disclosures, SEC Commissioners Daniel M. Gallagher And Michael S. Piwowar

Date 09/02/2015

Today, the Commission proposed rules to implement the disclosures mandated by Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. If adopted, these rules would require a registrant to disclose, in its proxy or information statement, whether employees (including officers) or members of the board of directors are permitted to engage in transactions to hedge or offset any decrease in the market value of equity securities granted to the employee or board member as compensation, or held directly or indirectly by the employee or board member.
Amman Stock Exchange Started Applying The Amended Directives For Listing Securities

Date 09/02/2015

The Amman Stock Exchange (ASE) started applying the amended Directives for Listing Securities on Amman Stock Exchange for the year 2012 as of December 9, 2014, issued by virtue of the provisions of Article (72) of the Securities Law No. 76 of 2002 which was recently amended by the decision of the Board of Commissioners of Jordan Securities Commission (JSC).
Comparative Regulatory Environments - "The Industry Doesn’t Think That The Increased Effort On Regulatory Compliance Leads To Better Protection For Clients"

Date 09/02/2015

Today Z/Yen and the Toronto Financial Services Alliance (TFSA), release a report that ranks Canada and Singapore as the top regulatory jurisdictions for financial services. Based on a survey of financial services professionals and other research, a summary of the results is shown below: