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  • Federal Reserve Issues Progress Report On Efforts To Improve The U.S. Payment System

    Date 26/01/2017

    The Federal Reserve on Thursday released a progress report outlining accomplishments and anticipated steps moving forward related to the ongoing initiatives to enhance the speed, efficiency and security of the U.S. payment system.

  • Keynote Speech By Andrew Bailey, Chief Executive Of The UK Financial Conduct Authority, At Economic Council Financial Markets Policy Conference, Berlin, 26 January 2017, Free Trade In Financial Services And Global Regulatory Standards: Friends Not Rivals

    Date 26/01/2017

    It is a great pleasure to be in Berlin and a very important time to be considering global regulation. It is also a sobering thought that this year marks the tenth anniversary of the start of the global financial crisis. Such a phrase is quite often used to convey a sense that time passes quickly, or appears to do so, when we are enjoying ourselves. That’s not the context for its use in relation to the financial crisis. Rather, I think, it is the opposite in meaning; that ten years on we are still dealing with the consequences and legacy of the crisis, and we are still therefore tested on whether the set of public policies being deployed are fit for the purpose.

  • SEC: Citigroup Paying $18 Million For Overbilling Clients

    Date 26/01/2017

    The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges that it overbilled investment advisory clients and misplaced client contracts.

  • CFTC Orders Chicago-based E*TRADE Securities LLC And E*TRADE Clearing LLC To Pay A $280,000 Civil Monetary Penalty For Failure To Retain Required Records And Failure To Diligently Supervise

    Date 26/01/2017

    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping rules and failure to diligently supervise. Both entities have their headquarters in Chicago, Illinois.The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping rules and failure to diligently supervise. Both entities have their headquarters in Chicago, Illinois.The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping rules and failure to diligently supervise. Both entities have their headquarters in Chicago, Illinois.The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against E*TRADE Securities LLC (E*TRADE Securities), an Introducing Broker, and E*TRADE Clearing LLC (E*TRADE Clearing), a Futures Commission Merchant, for non-compliance with applicable record-keeping rules and failure to diligently supervise. Both entities have their headquarters in Chicago, Illinois.

  • SEC Charges Two Former Och-Ziff Executives With FCPA Violations

    Date 26/01/2017

    The Securities and Exchange Commission today charged two former executives at Och-Ziff Capital Management Group with being the driving forces behind a far-reaching bribery scheme that violated the Foreign Corrupt Practices Act (FCPA).