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  • SEC Adopts Business Conduct Standards For Security-Based Swap Dealers And Major Security-Based Swap Participants

    Date 15/04/2016

    The Securities and Exchange Commission voted on April 13 to adopt final rules implementing a comprehensive set of business conduct standards and chief compliance officer requirements for security-based swap dealers and major security-based swap participants (security-based swap entities).

  • IMF Communiqué: G20 Finance Ministers And Central Bank Governors Meeting

    Date 15/04/2016

    1. The global recovery continues and the financial markets have recovered most of the ground lost earlier in the year since our February meeting in Shanghai. However, growth remains modest and uneven, and downside risks and uncertainties to the global outlook persist against the backdrop of continued financial volatility, challenges faced by commodity exporters and low inflation. Geopolitical conflicts, terrorism, refugee flows, and the shock of a potential UK exit from the European Union also complicate the global economic environment.

  • SEC Charges Litigation Marketing Company With Bilking Retirees

    Date 15/04/2016

    The Securities and Exchange Commission today charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and other investors who were told their money would be used to help gather plaintiffs for class-action and other lawsuits and they would earn hefty investment returns from settlement proceeds.

  • TOM MTF Statistics Week 15, 2016

    Date 15/04/2016

    Click here to download the weekly statistics update of TOM MTF for week 15, 2016. 

  • Japan's Securities And Exchange Surveillance Commission: Recommendation For Administrative Action based On Findings Of The Inspection Of Credit Suisse Securities (Japan) Limited

    Date 15/04/2016

    1. Contents of the recommendation

    Pursuant to Article 20, paragraph (1) of the Act for the Establishment of the Financial Services Agency (FSA), the Securities and Exchange Surveillance Commission (SESC) issued today a recommendation that the prime minister and the commissioner of the FSA take administrative action against Credit Suisse Securities (Japan) Limited (hereinafter referred to as "the Company"). This recommendation is based on the findings of an inspection of the Company, whereby the following violations by the Company of the law and the ordinance described in 2 below were identified.

    *Basic information regarding Credit Suisse Securities (Japan) Limited