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SEC Charges Government Contractor With Inadequate Controls And Books And Records Violations

Date 11/01/2017

The Securities and Exchange Commission today announced that L3 Technologies Inc. (formerly known as L-3 Communications Holdings Inc.), a contractor for U.S. and various foreign government agencies, has agreed to pay a $1.6 million penalty to settle charges that it failed to maintain accurate books and records and had inadequate internal accounting controls.
CFTC Orders J.P. Morgan Securities LLC To Pay $900,000 For Supervision Failures - Firm’s Supervisory Failures Over Exchange And Clearing Fee Processing Led To Customer Overcharges At Times

Date 11/01/2017

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against J.P. Morgan Securities LLC (JPMS), a Delaware corporation headquartered in New York City, for failing to diligently supervise its officers’, employees’, and agents’ processing of exchange and clearing fees it charged customers for trading and clearing Chicago Mercantile Exchange, Inc. (CME) products and products from certain other exchanges during 2010 to 2014. JPMS is registered with the CFTC as a Futures Commission Merchant and a swap dealer.
Volkswagen AG Agrees To Plead Guilty And Pay $4.3 Billion In Criminal And Civil Penalties - Six Volkswagen Executives And Employees Are Indicted In Connection With Conspiracy To Cheat U.S. Emissions Tests - VW To Pay $2.8 Billion Criminal Fine In Guilty Plea And $1.5 Billion Settlement Of Civil Environmental, Customs And Financial Violations - Monitor To Be Appointed To Oversee The Parent Company

Date 11/01/2017

Volkswagen AG (VW) has agreed to plead guilty to three criminal felony counts and pay a $2.8 billion criminal penalty as a result of the company’s long-running scheme to sell approximately 590,000 diesel vehicles in the U.S. by using a defeat device to cheat on emissions tests mandated by the Environmental Protection Agency (EPA) and the California Air Resources Board (CARB), and lying and obstructing justice to further the scheme, the Justice Department announced today.
EBA Advises On The Equivalence Of Supervisory And Regulatory Requirements For Turkey And New Zealand

Date 11/01/2017

The European Banking Authority (EBA) published today its Opinion addressed to the European Commission following its assessment of non-EU countries' equivalence with the EU prudential supervision and regulatory requirements, whereby it concluded that the supervisory and regulatory framework applicable to credit institutions in Turkey and New Zealand can be regarded as equivalent to that applied in the Union.
Finansinspektionen: Decision Regarding Reciprocation Of Macroprudential Measures In Two EU Countries

Date 11/01/2017

FI has published decisions regarding reciprocation of macroprudential measures in Estonia and Belgium.

EBA Updates Recommendation On The Equivalence Of Supervisory Regimes

Date 11/01/2017

The European Banking Authority (EBA) published today an amended Recommendation on the equivalence of confidentiality regimes. Several additional non-EU supervisory authorities were added to the list of non-EU or third country supervisory authorities whose confidentiality regimes can be regarded as equivalent.
DME Records 20 Per Cent Growth In Physical Delivery Volumes In 2016 Delivering Over 260,000,000 Barrels - Impressive Growth In Trading Volumes Appears Set To Continue In 2017 With A Record 29,887,000 Barrels Of DME Oman Crude Due For Delivery In February

Date 11/01/2017

The Dubai Mercantile Exchange (DME), the premier international energy futures and commodities exchange in the Middle East, announced a 20 per cent increase year-on-year in physical delivery volumes during 2016, reinforcing its increasingly influential role in the global energy trading marketplace.
Vatsa Narasimha Appointed As Chief Executive Officer Of OANDA Global Corporation, Replacing Ed Eger

Date 11/01/2017

OANDA Global Corporation’s Board of Directors has appointed Vatsa Narasimha, formerly CFO of OANDA, as its CEO. Mr. Narasimha succeeds Ed Eger who, alongside the Board, hand-selected Mr. Narasimha for the role. Mr. Eger will remain at OANDA to support Mr. Narasimha during a transition period.
ESMA Finds Improvement In Regulators’ Supervision Of MiFID Best Execution Requirements

Date 11/01/2017

The European Securities and Markets Authority (ESMA) finds that national regulators are giving greater attention to best execution requirements under the Markets in Financial Instruments Directive (MiFID) in the follow-up report to its Peer Review published in 2015.
CFTC Issues Order Of Registration For ICE Endex Markets B.V. To Permit Trading By Direct Access From The U.S.

Date 11/01/2017

The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has issued an Order of Registration to ICE Endex Markets B.V. (ICE Endex), a Foreign Board of Trade (FBOT) in Amsterdam, Netherlands. Under the Order, ICE Endex is permitted to provide its identified members or other participants located in the U.S. with direct access to its electronic order entry and trade matching system.