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  • CFTC Orders BNP Paribas Securities Corp. To Pay A $140,000 Penalty To Settle Charges Of Improper Investment Of Customer Segregated Funds

    Date 20/10/2015

    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order instituting and simultaneously settling charges against BNP Paribas Securities Corp. (BNPP), a registered Futures Commission Merchant (FCM) based in New York, New York, for violating the CFTC’s Regulations governing concentration limits applicable to the investment of segregated commodity customer funds. The CFTC Order requires BNPP to pay a $140,000 civil monetary penalty and to cease and desist from violating CFTC Regulations, as charged. The Order also requires that BNPP must regularly review its policies and procedures and provide training to ensure compliance with applicable regulations.

  • Federal Reserve Board Announces Civil Money Penalty And Issues Cease And Desist Order Against Crédit Agricole S.A.

    Date 20/10/2015

    The Federal Reserve Board on Tuesday announced a $90.3 million penalty and consent cease and desist order against Crédit Agricole S.A., of Paris, France, related to violations of U.S. sanctions. The order requires Crédit Agricole, including its foreign subsidiary, Crédit Agricole Corporate and Investment Bank, to implement an enhanced program to ensure global compliance with U.S. sanctions administered by the U.S. Department of Treasury's Office of Foreign Assets Control.

  • New OIC Study Shows Increased Knowledge Of Listed Options By Investors

    Date 20/10/2015

    The Options Industry Council (OIC), the educational cooperative run by OCC, the world’s largest equity derivatives clearing organization, and the U.S. options industry, today released the results of a new study conducted by Harris Poll that shows that industry efforts to educate investors about the use of listed options are generating positive results.

  • London Stock Exchange Today Welcomes China Development Bank (CDB)

    Date 20/10/2015

    London Stock Exchange today welcomed China Development Bank (CDB), one of the largest development financial institutions in the world and the major bank that provides medium and long term financing and investment services in China and in promoting development elsewhere in the world.  As at the end of the 3rd Quarter of 2015, CDB’s total assets reached RMB11.4 trillion and ranked No. 87 among Global Fortune 500.

  • Vienna Stock Exchange: Five Bonds Of The Financial Sector Can Be Traded Continuously

    Date 20/10/2015

    In the market segment financial sector the following bonds can be traded continuously as of Tuesday, October 20, 2015. The trading members Baader Bank AG (BALFR) and Walter Ludwig Wertpapierhandels GmbH (WALFR) assume the oblgations as market maker (M).