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Date 18/04/2013
Doing The Right Thing: Compliance That Works For Investors By SEC Commissioner Luis A. Aguilar - The Regulatory Compliance Association - Regulation, Operations & Compliance (ROC) 2013™, New York, NY, April 18, 2013
Good morning. Thank you for that kind introduction. Before I begin, let me issue the standard disclaimer that the views I express today are my own, and do not necessarily reflect the views of the U.S. Securities and Exchange Commission (“SEC”), my fellow Commissioners, or members of the staff.
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Date 18/04/2013
New Single European Banking Supervisor Agreed
Today in Brussels, EU member states agreed on the setting up of a new EU single supervisor for banks. This followed a key breakthrough in Ministerial talks at the Ecofin informal meeting in Dublin on 12-13 April.
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Date 18/04/2013
IMF Managing Director Christine Lagarde Names Louis Marc Ducharme As Director Of The Fund’s Statistics Department
Ms. Christine Lagarde, Managing Director of the International Monetary Fund (IMF), named today Mr. Louis Marc Ducharme to the position of Director, Statistics Department. His appointment will be effective in June 2013. Mr. Ducharme succeeds Ms. Adelheid Burgi-Schmelz, who resigned effective January 23, 2013.
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Date 18/04/2013
STOXX Announces Results Of Annual Emerging And Developed Markets Classification Review - STOXX Global 1800 Index To Cover All Developed Market Countries
STOXX Limited, the market-moving provider of innovative, tradable and global index concepts, today announced the results of the regular annual review of the STOXX Emerging and Developed Markets Country Classification. All changes will become effective with the open of markets on September 23, 2013. Furthermore, the index universe of the STOXX Global 1800 Index and all related sub and sector indices, among them the STOXX Europe 600 Index, will be extended to cover all countries which are classified as developed markets starting with the Q3 benchmark index review.
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Date 18/04/2013
CFTC Charges Accounting Firm Tunney & Associates, P.C. And Its Sole Owner Michael Tunney With Failing To Properly Audit A Registered Futures Commission Merchant
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a Complaint against Tunney & Associates, P.C. (Tunney & Associates), an accounting firm with offices in Hammond, Indiana and Orland Park, Illinois, and Michael Tunney (Tunney), its sole owner and a certified public accountant (CPA) licensed in Illinois and Indiana, alleging violations of the CFTC’s Regulations related to conducting audits for The Linn Group, Inc. (TLG), a registered Futures Commission Merchant (FCM).
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Date 18/04/2013
UK’s Financial Conduct Authority Publishes Its Approach To Regulatory Failure
The Financial Conduct Authority (FCA) has today published its approach to investigating and reporting on regulatory failure, as required by the Financial Services Act 2012 (the Act). The Act requires the FCA to publish a statement of policy setting out the matters it will take into account to decide whether it should carry out an investigation into possible regulatory failure, and give a report of its findings and recommendations to the Treasury for publication.
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Date 18/04/2013
CFTC Orders The Linn Group, Inc., A Registered Futures Commission Merchant, To Pay $400,000 Civil Monetary Penalty For Customer Account Deficiencies And Supervision Failures - Firm Failed To Diligently Supervise Its Officers, Employees, And Agents And To Properly Handle, Monitor And Report Customer Funds
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it entered an Order requiring The Linn Group, Inc. (TLG), a Chicago-based Futures Commission Merchant (FCM), to pay a $400,000 civil monetary penalty for failing to properly handle, monitor, and report the customer funds that it maintained, as required by the Commodity Exchange Act (CEA) and CFTC Regulations, and for supervision failures. The CFTC Order also requires TLG to retain a consultant to review and improve TLG’s procedures as necessary to comply with the CEA and Regulations and to cease and desist from violating the provisions of the CEA and Regulations, as charged.
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Date 18/04/2013
SEC Charges Chicago-Based Investment Adviser With Defrauding CalPERS And Other Clients
The Securities and Exchange Commission today charged the CEO of Chicago-based investment advisory firm Simran Capital Management with lying to the California Public Employers' Retirement System (CalPERS) and other current and potential clients about the amount of money managed by the firm.
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Date 18/04/2013
Program Trading Averaged 25.1 Percent Of NYSE Volume During Apr. 8-12
The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), today released its weekly program-trading data compiled from member firms’ executed volume from NYSE’s orders database. The report includes trading on the NYSE for Apr. 8-12.
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Date 18/04/2013
Bank Supervision: Council Confirms Agreement With European Parliament
The Permanent Representatives Committee today approved a compromise agreed with the European Parliament on the establishment of a single supervisory mechanism (SSM) for the oversight of credit institutions.
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