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ESMA Appoints New Chairs To Standing Committees

Date 30/09/2016

The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed new chairs to three of its standing committees:
Suspected Bomb Threat At Bursa Malaysia Building

Date 30/09/2016

Bursa Malaysia Building Management received a bomb threat at 12.01pm. Authorities have been notified, however, as a precaution all tenants and staff have been evacuated and respective Business Continuity Plans (BCP) have been activated.
Nasdaq Stockholm Announces Dome Energy Fine Corresponding To Seven Annual Fees

Date 30/09/2016

The Disciplinary Committee of Nasdaq Stockholm has found that Dome Energy AB (“Dome”) has breached the Nasdaq Stockholm rulebook (“the Rulebook”) and, accordingly, has imposed a fine on Dome amounting to seven annual fees, corresponding to an amount of SEK 679,574.
United Kingdom Parliament Treasury Committee Update: Tyrie Writes To FCA And PRA On Bank IT System Failures

Date 30/09/2016

The Treasury Committee publishes correspondence between Rt Hon. Andrew Tyrie MP, Chairman of the Treasury Committee, the CEOs of RBS and HSBC, and the FCA and PRA, in relation to bank IT system failures.
CFTC Orders Angus Partners LLC D/B/A Angus Energy To Pay A $250,000 Civil Penalty For Acting As An Unregistered Commodity Trading Advisor And For Disclosure Violations

Date 30/09/2016

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it entered an Order requiring Angus Partners LLC D/B/A Angus Energy (Angus), a Florida limited liability company with its principal place of business in Fort Lauderdale, Florida, to pay a $250,000 civil monetary penalty for acting as an unregistered Commodity Trading Advisor (CTA) and for violating certain disclosure rules applicable to CTAs.

Appointment Of NZX Head Of Market Operations

Date 30/09/2016

NZX is pleased to announce the appointment of Benjamin Phillips as Head of Market Operations. Benjamin has held the Head of Clearing role at NZX since joining in September 2014.
CFTC Orders Aden Rusfeldt To Pay In Total More Than $3.2 Million In Restitution And A Civil Monetary Penalty For Fraudulent Omissions In Connection With His Operation Of ETF Trend Trading - Rusfeldt Failed To Disclose That He Was Sued By The CFTC For Fraud In 2007 And Permanently Enjoined From Engaging In Any Commodity Interest Related Activity

Date 30/09/2016

The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Respondent Aden Rusfeldt (a/k/a “Big A”) of Vail, Arizona. The CFTC Order finds that Rusfeldt fraudulently failed to disclose to prospective and current customers of his company, ETF Trend Trading, that he was prohibited from engaging in any commodity-interest related activity under a prior Court Order.
SEC: Casino-Gaming Company Retaliated Against Whistleblowe

Date 29/09/2016

The Securities and Exchange Commission today announced that casino-gaming company International Game Technology (IGT) has agreed to pay a half-million dollar penalty for firing an employee with several years of positive performance reviews because he reported to senior management and the SEC that the company's financial statements might be distorted.
Office Of The Comptroller Of The Currency Assesses Penalty Against Wells Fargo - Orders Restitution For Violations Of The Servicemembers Civil Relief Act

Date 29/09/2016

The Office of the Comptroller of the Currency (OCC) today assessed a $20 million civil money penalty against Wells Fargo Bank, N.A., and ordered the bank to make restitution to servicemembers who were harmed by the bank’s violations of the Servicemembers Civil Relief Act (SCRA).
SEC: Biotech Employee Charged With Insider Trading Ahead Of Company’s Announcements About Breast Cancer Drug

Date 29/09/2016

The Securities and Exchange Commission today charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading ahead of the company’s news announcements about its drug to treat breast cancer.