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CFTC Orders ADM Investor Services, Inc. To Pay A $425,000 Penalty For Unlawfully Commingling Customer Funds With Funds In Non-Customer Accounts

Date 30/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against ADM Investor Services, Inc. (ADMIS), a CFTC-registered Futures Commission Merchant (FCM), for unlawfully commingling customer funds with funds held in its non-customer accounts. The CFTC Order requires ADMIS to pay a civil monetary penalty of $425,000, to cease and desist from violating Section 4d(a)(2) of the Commodity Exchange Act (CEA) and Commission Regulation 1.20(c), and to implement improved procedures, to the extent that it has not already done so, to ensure the proper classification of such accounts.
BGC Partners, Inc.: BGC Partners Updates Its Outlook For The Third Quarter Of 2013

Date 30/09/2013

BGC Partners, Inc. (NASDAQ: BGCP) ("BGC Partners," "BGC," or "the Company"), a leading global brokerage company primarily servicing the wholesale financial and real estate markets, today announced that it has updated its outlook for the quarter ending September 30, 2013.
U.S. Office Of Financial Research Delivers Report On Asset Management Industry

Date 30/09/2013

The U.S. Department of the Treasury’s Office of Financial Research (OFR) has delivered a report to the Financial Stability Oversight Council (Council) on ways that activities in the asset management industry might create, amplify, or transmit stress through the financial system.
DTCC To Partner With Global Banks To Develop Comprehensive Client Reference Data Service

Date 30/09/2013

The Depository Trust & Clearing Corporation (DTCC) announced today that it has signed a memorandum of understanding (MOU) with a group of large global banks that includes Barclays, Credit Suisse, Goldman Sachs and JPMorgan Chase and others to jointly develop a comprehensive service to collect and manage client entity reference data necessary to meet regulatory requirements and other normal course of business activities.
SEC Charges Three Auditors In Continuing Crackdown On Violations Or Failures By Gatekeepers

Date 30/09/2013

The Securities and Exchange Commission today announced charges against three auditors for violating federal securities laws or failing to comply with U.S. auditing standards during their audits and reviews of financial statements for publicly traded companies.

FXDirectDealer, LLC Ordered To Pay $275,000 Penalty To Settle CFTC Charges Of Violating Minimum Financial Requirement Rules

Date 30/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges that, between November 2010 and December 2012, FXDirectDealer, LLC (FXDD), a CFTC-registered Retail Foreign Exchange Dealer (RFED) and Futures Commission Merchant (FCM) headquartered in New York, New York, failed to comply with minimum financial requirements for RFEDs and FCMs. FXDD has been registered with the CFTC as an FCM since December 10, 2009 and as an RFED since September 2, 2010.
SEC Charges New Jersey-Based Accounting Firm And Founding Partner For Failed Audits Of China-Based Company

Date 30/09/2013

The Securities and Exchange Commission today charged a New Jersey-based audit firm and one of its founding partners for their roles in the botched audits of a China-based company that failed to disclose related party transactions by its CEO and others.
CFTC Charges Registered COMEX Floor Broker Dominick Anthony Cognata With Failing To Produce Required Documents In Response To A CFTC Subpoena And Seeks To Revoke His Registration

Date 30/09/2013

The U.S. Commodity Futures Trading Commission (CFTC) today filed two separate administrative proceedings against Dominick Anthony Cognata, a registered COMEX floor broker. In one proceeding, a Complaint charges Cognata with failing to produce, or otherwise make available, to the CFTC certain records relating to his brokerage activities, in violation of Section 4g of the Commodity Exchange Act (CEA) and CFTC Regulations 1.31(a) and 1.35(a). In the other proceeding, a Notice of Intent to Revoke (Notice) seeks to revoke Cognata’s registration as a floor broker, under Sections 8a(3)(M) and 8a(4) of the CEA.
SEC Charges South Florida Woman Behind Ponzi Scheme Targeting Colombian-American Community

Date 30/09/2013

The Securities and Exchange Commission today charged a woman living in South Florida with defrauding investors in a Ponzi scheme and affinity fraud that targeted the local Colombian-American community and involved purported investments in immigration bail bonds.
Direct Edge Trading Notice #13-43: Additional Direct Edge Fee Schedule Changes For October

Date 30/09/2013

Effective Tuesday, October 1, 2013, Direct Edge® will introduce the following pricing changes on the EDGA Exchange^SM (EDGA®) and EDGX Exchange^SM (EDGX®) to reflect recent updates to the BATS BZX fee schedule, pending filing with the Securities and Exchange Commission (SEC).