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  • Speech By Governor Tarullo On Regulation Of Foreign Banking Organizations At The Yale School Of Management Leaders Forum, New Haven, Connecticut

    Date 28/11/2012

    In the aftermath of the financial crisis, regulators around the world continue to implement reforms designed to limit the incidence and severity of future crises. My subject today pertains to an area in which reforms have yet to be made--the regulation of the U.S. operations of large foreign banks.1 Applicable regulation has changed relatively little in the last decade, despite a significant and rapid transformation of those operations, as foreign banks moved beyond their traditional lending activities to engage in substantial, and often complex, capital market activities. The crisis revealed the resulting risks to U.S. financial stability.

  • FINRA Files Complaint Charging The President And Owner Of Brooklyn Brokerage Firm TWS Financial For Operating Fraudulent Scheme Targeting Polish Community

    Date 28/11/2012

    The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against Roman Sledziejowski, President and owner of Brooklyn, NY-based brokerage firm TWS Financial, LLC, charging him with defrauding three customers of more than $4 million through a scheme, carried on primarily outside the securities firm, involving converting client funds to his personal use while providing falsified account statements to his customers. Sledziejowski, a Polish-born investment manager, and his firm TWS Financial, catered to the Polish investment community in Brooklyn, and all of his victims were natives of Poland. On November 9, 2012, TWS Financial filed an application to withdraw its broker-dealer registration.

  • SEC Charges New York-Based Fund Executives For Overvaluing Assets During Financial Crisis

    Date 28/11/2012

    The Securities and Exchange Commission today charged three top executives at a New York-based publicly-traded fund being regulated as a business development company (BDC) with overstating the fund’s assets during the financial crisis. The fund’s asset portfolio consisted primarily of corporate debt securities and investments in collateralized loan obligations (CLOs).

  • FINRA And JSDA Sign Cooperation Agreement

    Date 28/11/2012

    The U.S. Financial Industry Regulatory Authority (FINRA) and Japan Securities Dealers Association (JSDA) have entered into a Memorandum of Understanding (MOU) to support more robust cooperation between the two regulators.

  • Knight Capital Group Confirms Receipt Of Proposal From Getco

    Date 28/11/2012

    Knight Capital Group, Inc. (NYSE Euronext: KCG) today confirmed that it is in receipt of a proposal letter from Getco.

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