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Date 18/01/2012
SEC Obtains Emergency Relief Against St. Louis-Based Private Investment Funds After Charging Them And Their Principal With Fraud
The Securities and Exchange Commission today announced that it has obtained an emergency court order to freeze the assets of St. Louis-based private investment funds and management firms after suing them and their principal for a scheme to defraud investors.
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Date 18/01/2012
José Manuel Durão Barroso President Of The European Commission Statement By President Barroso On The International Agreement European Parliament Strasbourg, 18 January 2012
Mr President,
Honourable Members,
We are discussing this international agreement as part, and only as a specific part, of a wide-ranging and comprehensive approach for stronger discipline, increased convergence, the reinforced coordination in governance in particular in the Euro Area. If we want to ensure the future viability of our common currency and if we want to prevent in the future the kind of crisis Europe is experiencing today, this is fundamental.
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Date 18/01/2012
SEC Charges Florida Bank Holding Company And CEO With Misleading Investors About Loan Risks During Financial Crisis
The Securities and Exchange Commission today charged the holding company for one of Florida’s largest banks and its top executive with misleading investors about growing problems in one of its significant loan portfolios early in the financial crisis.
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Date 18/01/2012
FINRA Fines Citigroup Global Markets $725,000 For Failure to Disclose Conflicts Of Interest In Research Reports
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances.
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Date 18/01/2012
U.S. Securities And Exchange Commission Approves NYSE Euronext Filings Related To Merger With Deutsche Börse AG
The U.S. Securities and Exchange Commission (SEC) has approved the filings related to the NYSE Euronext and Deutsche Börse AG merger and therefore, pending any changes, all U.S. regulatory approvals have been received in relation to the combination. This approval would permit NYSE Euronext to become a wholly owned subsidiary of Holdco and authorizes certain amendments to the organizational and other governance documents of Holdco, NYSE Euronext and NYSE Group. The SEC approval order, Release Number 34-66171, can be found athttp://www.sec.gov/rules/sro/edga/2012/34-66171.pdf.
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Date 18/01/2012
TMX Group Top 20 Largest - Consolidated Short Position Report – Highlights - January 15, 2011
Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending January 15, 2012.
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Date 18/01/2012
SEC Seeks Public Comment For Financial Literacy Study Mandated By Dodd-Frank Act
The Securities and Exchange Commission today published on its website a request for public comment on financial literacy and investor disclosure issues that it is studying as part of a review mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
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Date 18/01/2012
Aritas Securities Succeeds Pipeline Trading Systems, Reflecting Significant Operational Changes
Since announcing a settlement agreement with the SEC last October,Pipeline Trading Systems LLC has been significantly reshaped, culminating today in the announcement of a new name for the business, Aritas Securities LLC. Since the SEC settlement, the firm has seen the departure of senior management, recruited Jay Biancamano as Executive Chairman to provide new leadership, discontinued the operations of its affiliate Milstream Securities, completed work on a new version of its flagship product Alpha Pro, updated its Algorithm Switching Engine and reorganized its internal structure. It is now launching the name Aritas.
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Date 18/01/2012
SEC Charges Fund Managers And Analysts In Insider Trading Scheme - Hedge Fund Firms Diamondback Capital And Level Global Also Charged
The Securities and Exchange Commission today charged two multi-billion dollar hedge fund advisory firms as well as seven fund managers and analysts involved in a $78 million insider trading scheme based on nonpublic information about Dell’s quarterly earnings and other similar inside information about Nvidia Corporation.
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Date 18/01/2012
London Stock Exchange Group Welcomes Italian Prime Minister, Mario Monti
London Stock Exchange Group today hosted Italian Prime Minister, Mario Monti, at its London Headquarters in Paternoster Square. Prime Minister Monti addressed a senior audience of UK based financiers, executives and leading City figures outlining his vision for the Italian economy before attending a press conference with international media.
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