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  • Federal Court Sanctions Gerard Suite And STA Opus LLC For Commodity Pool Fraud And Frank Collins For Misappropriation Of Customer Funds - Defendants Ordered To Pay Restitution And Civil Monetary Penalties Totaling More Than $4.5 Million

    Date 17/11/2017

    The Commodity Futures Trading Commission (CFTC) obtained $1,127,855 in restitution for defrauded pool participants and $3,383,565 in civil monetary penalties in a federal court Default Judgment Order against Defendants Gerard Suite (who is known by numerous aliases, including Rawle Gerard Suite, Jerry Suite, and Jerry Snead) and his company, STA Opus NR LLC (STA Opus), as well as a Consent Order against Frank Collins for knowingly or recklessly misappropriating at least $50,000 of STA Opus customers’ funds.

  • Federal Reserve Board Extends Comment Periods For Two Related Proposals Until February 15, 2018

    Date 17/11/2017

    The Federal Reserve Board on Friday extended the comment periods for two related proposals until February 15, 2018. One would enhance the effectiveness of boards of directors. The other would implement a new ratings system for large financial institutions that would be aligned with the post-crisis supervisory program.

  • SEC Announces Agenda And Panelists For The 36th Annual Small Business Forum

    Date 17/11/2017

    The Securities and Exchange Commission today announced the agenda and panelists for the 36th Annual Government-Business Forum on Small Business Capital Formation.

  • ESMA Securities And Markets Stakeholder Group Advice On Guidelines On Certain Aspects Of The MiFID II Suitability Requirements

    Date 17/11/2017

    On the whole, the SMSG is of the opinion that the draft guidelines are sound and beneficial to the protection of the investor. The SMSG is particularly happy with the approach taken by ESMA to not merely update the previous guidelines in light of the MiFID II, but to also thoroughly re-examine all guidelines and add new guidance where necessary (in particular in respect of roboadvice). Also references to insights of behavioural economics and the insertion of a correlation table are much appreciated. Furthermore the explicit confirmation of the “portfolio approach” to investment advice and portfolio management (para 80-81), consistent with the guidelines on target market, is applauded by the SMSG. However, the SMSG also has a number of general comments.

  • EBA Updates List Of CET1 Instruments

    Date 17/11/2017

    The European Banking Authority (EBA) published today its sixth updated list of capital instruments that Competent Authorities (CAs) across the European Union (EU) have classified as Common Equity Tier 1 (CET1). Since the publication of the previous update in May 2017, some new CET1 instruments have been assessed and evaluated as compliant with the Capital Requirements Regulation (CRR). The list will be maintained and updated on a regular basis.

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