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Date 13/10/2011
Speech by SEC Commissioner Luis A. Aguilar: Regulating Key Players In Security-Based Swaps
In light of the critical role played by unregulated derivatives in the financial crisis of 2008, Congress created a comprehensive regulatory regime for derivatives in Title VII of the Dodd-Frank Act designed to promote, among other things, the financial stability of the United States by improving accountability and transparency in the financial system. However, this regulatory regime cannot go into effect until the primary regulators promulgate and adopt rules that implement this regime. One component of these Title VII reforms is the requirement that security-based swap dealers and major security-based swap participants register and be overseen by the Commission.
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Date 13/10/2011
ITRS Group Opens New Development Centre In Manila
ITRS Group plc, the leading global provider of predictive, real-time monitoring and proactive application performance management products to the world’s financial community, is proud to announce the opening of its new development centre in Manila, the Philippines. The launch party will be held at the Shangri La.
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Date 12/10/2011
Speech By SEC Commissioner Luis A. Aguilar: Protecting The Financial System And Aligning The Interests Of Banks And Their Customers
In the years leading up to the financial crisis, the largest banks in America came to rely on proprietary trading to generate an ever greater percentage of their revenues. The financial crisis subsequently demonstrated how this trading contributed to the banks’ vulnerability, and put the American financial system at risk. As market conditions deteriorated, trading losses increased exponentially and undermined the banks’ capital. No one can forget that the banks were rescued from the brink of failure by the commitment of hundreds of billions of taxpayer dollars. Also, as a recent Commission case demonstrated, propriety trading creates the opportunity for banking entities to increase their profits by misusing client trade information.
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Date 12/10/2011
Speech By SEC Commissioner Elisse B. Walter: Opening Remarks Regarding The Registration Of Security-Based Swap Dealers And Major Security-Based Swap Participants - Proposed Rules 15Fb1-1 Through 15Fb6-1
I. Introduction
Thank you, Chairman Schapiro. I, too, would like to thank the staff for its hard work on the proposal before us today. In particular, I’d like to thank Bonnie Gauch, Joe Furey, and Nathaniel Stankard of the Division of Trading and Markets for their tireless effort and unyielding professionalism relating to this and many other matters. And, I’d like to thank David Blass and say how good it is to see you here in your new capacity as Chief Counsel of the Division. I’d also like to thank the staff of the Office of Compliance Inspections and Examinations for their critical input into this proposal. I truly appreciate all the effort reflected in this important release and, in particular, your responsiveness to my questions and comments. Last, but not least, I’d like to thank my counsel, Brian Murphy, who has done such exceptional work on this matter.
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Date 12/10/2011
Rostron Parry Ltd Appoints Patrick Birley As Deputy Chairman
Rostron Parry Ltd, the London-based financial PR and strategic consultancy has announced the appointment of Patrick Birley as non-executive Deputy Chairman. Patrick brings to the team many years of experience in the exchange-traded, clearing and environmental marketplaces, where he has held leading positions and earned a reputation for developing and promoting successful businesses.
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Date 12/10/2011
Speech By SEC Chairman Mary Schapiro: Statement At SEC Open Meeting: Item 2 — Registration Of Securities-Based Swap Dealers And Major Security-Based Swap Participants
We will next consider a proposal that would establish registration rules for security-based swap dealers and major security-based swap participants.
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Date 12/10/2011
Investing In Africa And Africa’s Capital Markets – Why Now?
Thank you very much for your very kind words of introduction.
I am delighted to be at this summit and to be speaking after Xavier and Andrew. I agree with many of the very excellent points they have made and would like to thank them for getting us off to a good start this morning. To Xavier, Andrew and Bill, my sincere thanks for your devotion to Africa and thanks to the London Stock Exchange and our friends at the Financial Times for hosting this summit on Africa in the heart of London.
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Date 12/10/2011
SEC Proposes Rules For Registration Of Securities-Based Swap Dealers And Major Security-Based Swap Participants
The Securities and Exchange Commission today voted to propose rules that lay out the process by which security-based swap dealers and security-based swap participants must register with the Commission.
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Date 12/10/2011
SEC Jointly Proposes Prohibitions And Restrictions On Proprietary Trading
The Securities and Exchange Commission today voted to propose a rule implementing the so-called "Volcker Rule" requirements. The requirements stem from Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
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Date 12/10/2011
Minutes Of The Federal Open Market Committee, September 20-21, 2011
The Federal Reserve Board and the Federal Open Market Committee (FOMC) on Wednesday released the attached minutes of the Committee meeting held on September 20-21, 2011.
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