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News Centre
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Date 18/12/2014
Federal Court Orders Royal Bank Of Canada To Pay $35 Million Penalty For Illegal Wash Sales, Fictitious Sales, And Noncompetitive Transactions - Canadian Bank Traded Single Stock Futures And Narrow-Based Stock Index Futures On OneChicago Futures Exchange
The U.S. Commodity Futures Trading Commission (CFTC) today announced that on December18, 2014, Judge Alvin K. Hellerstein of the U.S. District Court for the Southern District of New York entered a Consent Order for Permanent Injunction and Civil Monetary Penalty against Royal Bank of Canada(RBC) for engaging in more than 1,000 illegal wash sales, fictitious sales, and noncompetitive transactions over a three-year period. The Order enjoins RBC from committing future violations of the wash sale, fictitious sale, and noncompetitive transaction prohibitions of the Commodity Exchange Act and the CFTC’s Regulations, and requires RBC to pay a civil monetary penalty of $35 million.
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Date 18/12/2014
OCC Bulletin: Regulatory Capital-Proposed Changes To The Regulatory Capital Rule: Notice Of Proposed Rulemaking
Summary
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (collectively, the agencies) are proposing revisions to clarify, correct, and update certain provisions of the revised regulatory capital rule adopted by the agencies in 2013. The proposed revisions only apply to banking organizations subject to the agencies’ advanced approaches risk-based capital framework. The proposed changes do not affect other banking organizations. The proposed revisions clarify some aspects of the qualification requirements for advanced approaches systems. In addition, the proposed revisions better align the advanced approaches subpart of the revised regulatory capital rule with the Basel framework and thereby enhance consistency with international capital standards.
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Date 18/12/2014
FINRA Fines Wells Fargo Advisors And Wells Fargo Advisors Financial Network $1.5 Million For Anti-Money Laundering Failures - Firms Failed To Subject Over 200,000 New Accounts To Identity Verification
The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered two St. Louis-based broker-dealers under common control, Wells Fargo Advisors (WFA) and Wells Fargo Advisors Financial Network (WFAFN), to pay a joint fine of $1.5 million for anti-money laundering (AML) failures. For nine years, the firms failed to comply with a key aspect of the anti-money laundering compliance program for broker-dealers by failing to subject approximately 220,000 new customer accounts to the required identity-verification process.
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Date 18/12/2014
MIAX Options - Monthly Trading Permit And Market Data Fee Changes - Effective January 1, 2015
Effective January 1, 2015, the MIAX Options Fee Schedule will be amended as outlined below:
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Date 18/12/2014
Federal Reserve Board Announces Banking Entities Have Until July 21, 2016, To Conform Investments In And Relationships With Covered Funds And Foreign Funds That Were In Place Prior To December 31, 2013
The Federal Reserve Board announced on Thursday that it has acted under section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker Rule, to give banking entities until July 21, 2016, to conform investments in and relationships with covered funds and foreign funds that were in place prior to December 31, 2013 ("legacy covered funds"). The Board also announced its intention to act next year to grant banking entities an additional one-year extension of the conformance period until July 21, 2017, to conform ownership interests in and relationships with legacy covered funds.
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Date 18/12/2014
SEC Charges Staten Island-Based Firm With Operating Boiler Room Scheme Targeting Seniors
The Securities and Exchange Commission today charged a Staten Island, N.Y.-based firm, its former president, and two sales representatives involved in a fraudulent boiler room scheme targeting seniors to invest in speculative start-up companies.
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Date 18/12/2014
European Commission - Statement By Commissioner Vestager Welcoming Luxembourg's Decision To Provide All Information Requested On Tax Rulings And Patent Boxes
"I am very pleased that the Luxembourg government has today announced they will fully comply with the Commission's requests for information on its tax rulings practice and patent box scheme. They will now provide the Commission with all the requested information outstanding.
The Commission would then no longer need to pursue infringement action against Luxembourg."
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Date 18/12/2014
New York Stock Exchange Announces Fourth Consecutive Year Of IPO Leadership In Global Capital Raising - Technology IPO Leader
The New York Stock Exchange, part of the Intercontinental Exchange (NYSE: ICE) global network of exchanges, announced today that NYSE Group raised $182 billion in 545 transactions in 2014, more than any other exchange in the world. Listing eight of the 10 largest 2014 U.S. initial public offerings (IPOs), NYSE Group led in capital raised from IPOs for the fourth consecutive year and once again led in technology IPOs.
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Date 18/12/2014
Tel Aviv Stock Exchange Weekly Review: 14-18 December 2014
Trading on the Tel Aviv Stock Exchange (TASE) during the third week of December ended down in share and bond indices; "Frutarom" and "Melisron" entered the TA-25 Index.
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Date 18/12/2014
Financial Stability Oversight Council Releases Request For Comment On Asset Management Products And Activities - Council Seeks Public Comment On Potential Financial Stability Risks Related To Liquidity And Redemptions, Leverage, Operational Functions, And Resolution
The Financial Stability Oversight Council (Council) today voted [unanimously] to release a noticeseeking public comment regarding potential risks to U.S. financial stability from asset management products and activities. The Council is seeking input from the public about potential risks to the U.S. financial system associated with liquidity and redemptions, leverage, operational functions, and resolution in the asset management industry.
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