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Hong Kong's Securities And Futures Commission Bans Derek Ong For 10 Years

Date 17/11/2016

The Securities and Futures Commission (SFC) has prohibited Mr Derek Ong, a former representative of Deutsche Securities Asia Limited, from re-entering the industry for 10 years from 17 November 2016 to 16 November 2026 for conspiring to manipulate the Korean Composite Stock Price Index 200 (KOSPI200) in November 2010.
Markit Co-Founder Rony Grushka To Join Algomi Board Of Directors

Date 17/11/2016

Algomi, the network company providing information-matching solutions for the optimisation of fixed income liquidity, today announced Rony Grushka joined its board with immediate effect.
European Private Equity Puts Spotlight On Responsible Investment

Date 17/11/2016

Private equity fund managers and institutional investors in Europe have joined forces to develop portfolio company-focused due diligence guidance for responsible investment, in a new initiative launched today by trade association Invest Europe.
HKEX: Full Listing Committee Submission To Joint Consultation Paper On Listing Regulation

Date 17/11/2016

Hong Kong Exchanges and Clearing Limited (HKEX) is issuing this statement on behalf of the Listing Committee of The Stock Exchange of Hong Kong Limited (the Exchange), a wholly-owned subsidiary of HKEX.
The Management Of S&P Maalot Opened The Trading Day On Tel Aviv Stock Exchange To Mark 25 Years Of Credit Ratings

Date 17/11/2016

Yesterday morning (16.11.16) S&P Maalot opened the trend at tase in the presence of S&P Maalot management Ronit Harel Ben-Zeev, CEO, Standard & Poor’s Maalot, said: "Twenty-five years ago we needed to persuade the market's key players of the need to establish a credit rating company. This was at a time when in the U.S., credit rating agencies had already been active for 150 years. Today it is universally clear that it is unthinkable to have a sophisticated and well-developed debt market without the firm basis of professional, independent and autonomous credit rating".

Financial Stability Oversight Council Meeting November 16

Date 17/11/2016

Secretary of the Treasury Jacob J. Lew today convened a meeting of the Financial Stability Oversight Council (Council) in executive and open sessions at the Treasury Department.
Treasury International Capital Data For September

Date 16/11/2016

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for September 2016. The next release, which will report on data for October 2016, is scheduled for December 15, 2016.
CFTC Swaps Report Update

Date 16/11/2016

CFTC's Weekly Swaps Report has been updated, and is now available.
Federal Court Orders IB Capital FX, LLC, Michel Geurkink, And Emad Echadi To Pay More Than $35 Million In Restitution And A Civil Penalty For Soliciting At Least $50 Million From Members Of The Public To Trade Forex, Without Being Registered With The CFTC

Date 16/11/2016

The U.S. Commodity Futures Trading Commission (CFTC) obtained a Consent Order against Defendants IB Capital FX, LLC (a/k/a IB Capital FX (NZ) LLP) d/b/a IB Capital (IB Capital), Michel Geurkink, and Emad Echadi, requiring them to pay, jointly and severally, $35 million in restitution to defrauded customers and a $420,000 civil monetary penalty for soliciting and accepting at least $50 million from approximately 1,850 customers in the United States and worldwide for off-exchange margined retail foreign currency (forex) trading, without being registered with the CFTC as is required.
Examining The Dodd-Frank Act And The Future Of Financial Regulation, Rick A. Fleming, Investor Advocate, U.S. Securities And Exchange Commission[1], Keynote Address, University Of Maryland, Robert H. Smith School Of Business Center For Financial Policy, Nov. 16, 2016

Date 16/11/2016

Thank you, David [Lynn], for that kind introduction. I also want to thank Jim Allen and the sponsoring organizations for extending the invitation to speak, and to all of you for participating in this important discussion.