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New York Attorney General Eric T. Schneiderman Announces Conviction And Sentencing Of Albany Broker For Running Decade-Long, $5 Million Ponzi Scheme - Frederick E. Monroe, Jr., Former Senior Vice President Of Capital Financial Planning, LLC, Sentenced To 5 1/3-16 Years In Prison For Stealing Over $5 Million From Investors - Schneiderman: From The Biggest Financial Institutions To Individual Investment Brokers, My Office Will Continue To Aggressively Investigate And Prosecute Complex Financial Crimes And Securities Fraud

Date 16/02/2016

Attorney General Eric T. Schneiderman today announced the conviction and sentencing of Frederick E. Monroe, Jr., 59, of Queensbury, New York, for stealing over $5 million from investors by fraudulently soliciting them to reinvest their retirement monies. In December 2015, Monroe pleaded guilty in Albany County Court to Scheme to Defraud, Grand Larceny, Money Laundering and Securities Fraud for luring clients with whom he had established relationships with over his 20-year career as a financial planner, and then diverting their monies for his own personal use, as well as to pay back earlier investors he had defrauded. Monroe was sentenced today to 5 1/3-16 years in prison.
ESMA Updates EMIR Q&A

Date 16/02/2016

The European Securities and Markets Authority (ESMA) has today issued an update of its Question and Answers (Q&As) regarding the implementation of the European Market Infrastructure Regulation (EMIR).
SEC: Tech Company Bribed Chinese Officials

Date 16/02/2016

The Securities and Exchange Commission today announced that a Massachusetts-based technology company and its Chinese subsidiaries agreed to pay more than $28 million to settle parallel civil and criminal actions involving violations of the Foreign Corrupt Practices Act (FCPA).
UBS MTF Trading Notice N1 2016 Rules Of Engagement Update - Tag 1

Date 16/02/2016

UBS MTF would like to announce an update to its current FIX Rules of Engagement.
MGEX Reports Top Open Interest, Pair Of Daily Volume Records

Date 16/02/2016

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports three separate daily records from Friday, including its highest open interest total of all-time, ending the day at 87,186 and surpassing the previous record from a day earlier by more than 2,300.

Moscow Exchange: Risk Parameters For New Securities

Date 16/02/2016

New bond (SU26218RMFS6) will be accepted to margin trading starting from February, 17 2016. From this date on, the following risk parameters will be applied:
CME Group Inc. Names Slate Of Director Nominees

Date 16/02/2016

CME Group Inc. today announced its slate of candidates for its board of directors for election at the company's annual meeting to be held Wednesday, May 18, 2016.
Obligation To Issue A Prospectus For Bond Offerings - No Obstacles For Retail Investors: By Dr Christoph Boschan von dem Bussche, Member Of The Management Board Of Boerse Stuttgart.

Date 16/02/2016

For the past three-and-a-half years new prospectus laws have been in force in Germany, as in the whole of the European Union. Prior to this time, since 2003, it was possible to issue bonds with a minimum denomination per unit of EUR 50,000 without a prospectus, but in 2012 this threshold was increased to EUR 100,000. The legislature provided for the exemption from the requirement to publish a prospectus on the basis that retail investors do not generally subscribe for or trade bonds in such large denominations; it is usually only institutional investors who do so. The latter do not rely to the same extent on the particularly high level of transparency offered by a prospectus and the liability imposed on issuers for misstatements in prospectuses.
New SimCorp Dimension Release Enables Better Investment Decision Making

Date 16/02/2016

SimCorp, a leading provider of investment management solutions and services for the global financial services industry, has released version 5.9 of SimCorp Dimension, the first of two annual releases. Along with numerous other modules, new features, and further integration across the entire value chain, the release introduces new advanced additions to SimCorp’s Asset Manager.
ESMA Issues Follow-Up Review On Money Market Fund Guidelines

Date 16/02/2016

The European Securities and Markets Authority (ESMA) has issued today a follow-up peer review into the compliance of national competent authorities (NCAs) with guidelines regarding money market funds.