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Date 11/02/2014
Two Hong Kong-Based Firms To Pay $11 Million For Insider Trading Ahead Of Nexen Acquisition By Company In China - SEC’s Quick Action After Trades Prevented Illegal Profits
The Securities and Exchange Commission today announced that two Hong Kong-based asset management firms whose accounts were frozen in a major insider trading case have agreed to pay nearly $11 million to settle the charges against them.
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Date 11/02/2014
SIFMA Recommends Full Market Close On February 17 for Trading Of US Dollar-Denominated Fixed-Income Securities In Observance Of The Presidents Day Holiday
SIFMA has confirmed its previous recommendation for a full market close on Monday, February 17 for the trading of US dollar-denominated fixed-income securities in the United States, the United Kingdom and Japan in observance of the U.S. Presidents' Day Holiday.
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Date 11/02/2014
Statement On Verdict In Jury Trial Of Fund Manager Involved In Petters Ponzi Scheme - Andrew Ceresney Director, SEC Division of Enforcement, Feb. 11, 2014
"We’re very pleased the jury found Marlon Quan liable for securities fraud and that he will be held accountable for his deception in funneling several hundred million dollars of investor money into the Tom Petters Ponzi scheme."
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Date 11/02/2014
Direct Edge Trading Notice #14-04: Market Holiday Reminder – President’s Day
BATS BYX Exchange, BATS BZX Exchange, EDGA Exchange, EDGX Exchange, and BATS Options will be closed on Monday, February 17, 2014 in observance of Presidents’ Day. Normal trading will resume Tuesday, February 18, 2014.
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Date 11/02/2014
Federal Court Orders North Carolina Resident Michael Anthony Jenkins And His Company, Harbor Light Asset Management, To Pay Over $5.2 Million For Solicitation Fraud, Misappropriation, And Embezzlement In A Ponzi Scheme
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge James C. Fox of the U.S. District Court for the Eastern District of North Carolina entered an Order for a permanent injunction against Defendants Harbor Light Asset Management, LLC (HLAM) and its President and owner, Michael Anthony Jenkins, both of Raleigh, North Carolina. The Order requires HLAM and Jenkins jointly to pay restitution totaling $1,301,406.60 and a civil monetary penalty of $3,904,219.80. The Order also imposes permanent trading and registration bans against the Defendants and prohibits them from violating the Commodity Exchange Act and CFTC Regulations, as charged.
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Date 11/02/2014
Hogan Lovells: Survey: Cross-Border Litigation On The Rise - Many Corporations Identify Legal Systems In The U.S. And China As The Most Challenging
Complex and costly cross-border legal disputes are projected to grow significantly in the years ahead, according to a new survey of multinational corporations. At the top of many companies' list of most challenging legal systems: China, India, Brazil, and the United States.
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Date 11/02/2014
SEC Names Michael Maloney As New Chief Accountant in Enforcement Division
The Securities and Exchange Commission today announced that Michael F. Maloney has been named the new chief accountant in the SEC’s Division of Enforcement.
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Date 11/02/2014
ESMA Provides Further Details On Trade Reporting In updated EMIR Q&A
The European Securities and Markets Authority (ESMA) has issued today updated Question & Answers (Q&As) on the implementation of the European Markets Infrastructure Regulation (EMIR). These updated Q&As clarify, among others, issues related to reporting to trade repositories (TRs) such as on how to construct and generate Unique Trade Identifiers (UTI), the reporting of empty/not available fields and the UPI taxonomy.
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Date 11/02/2014
SIX Swiss Exchange - January 2014: Strong Start to The Year
The statistical monthly report contains the latest trade and turnover figures forSIX Swiss Exchange.
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Date 11/02/2014
Federal Court In Nebraska Imposes More Than $10 Million In Sanctions against Michael B. Kratville, Jonathan W. Arrington, Elite Management Holdings Corp., And MJM Enterprises LLC For Commodity Pool Fraud
The U.S. Commodity Futures Trading Commission (CFTC) today announced that Chief Judge Laurie Smith Camp of the U.S. District Court for the District of Nebraska entered a summary judgment Order against Defendant Michael B. Kratville, a licensed attorney, and a default judgment Order against DefendantsJonathan W. Arrington, Elite Management Holdings Corp. (Elite), and MJM Enterprises LLC (MJM), all of Omaha, Nebraska, in a CFTC enforcement action charging the Defendants with commodity pool fraud in violation of the Commodity Exchange Act (CEA) and CFTC Regulations (see CFTC Press Release 6045-11, May 26, 2011).
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