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Whatever Happened To Promoting Small Business Capital Formation? - SEC Commissioner Daniel M. Gallagher Washington, D.C., Sept. 17, 2014

Date 18/09/2014

Thank you, David [Burton], for that introduction. I appreciate all that the Heritage Foundation in general, and David in particular, are doing to focus attention on key issues in the capital markets, and I am honored to have the opportunity to be here today.

CalPERS Outlines Plan For Financial Markets Principles - Guided By Beliefs, System Will Focus On Risk, Governance, And Transparency

Date 18/09/2014

The California Public Employees’ Retirement System (CalPERS) has outlined plans to engage in policy discussions around derivatives, housing finance, and credit rating agencies as part of its renewed focus on risk, governance, and transparency in the financial markets.

Collaboration, Cooperation And Oversight, SECChair Mary Jo White, 2014 SRO Outreach Conference Washington, D.C., Sept. 17, 2014

Date 18/09/2014

Thank you, Drew.

Good morning everyone. It is a pleasure to see such a great turnout for our third annual SRO Outreach Conference.

US Attorney General Holder Remarks On Financial Fraud Prosecutions At NYU School Of Law

Date 17/09/2014

Thank you, Professor [Jennifer] Arlen, for those kind words – and thank you all for being here.  It’s a privilege to be at New York University this afternoon.  And it’s an honor to stand with so many judges, U.S. Attorneys, and prominent leaders in the field of corporate compliance and enforcement – as well as the law students, faculty members, administrators, staff and alumni who make this institution such a remarkable place.

CFTC Approves Final Rule And Proposed Rule At Its Open Meeting Today

Date 17/09/2014

Today the U.S. Commodity Futures Trading Commission (CFTC) approved a Final Rule and a Proposed Rule at an Open Meeting, as follows:

With a unanimous vote, the CFTC approved the Final Rule on Exclusion of Utility Operations-Related Swaps with Utility Special Entities from De Minimis Threshold for Swaps with Special Entities.

Remarks by US Principal Deputy Assistant Attorney General For The Criminal Division Marshall L. Miller At The Global Investigation Review Program

Date 17/09/2014

Thank you, for that kind introduction.  As a born and bred New Yorker, it is a pleasure to be back in my hometown. 

I want to focus my comments today on how we in the Criminal Division of the Department of Justice are addressing criminal conduct when it takes place at corporations and other institutions.  I’ll begin with a short discussion about our evolving approach to such investigations.  Then, I’ll turn to our thought process in deciding how to resolve charges against corporations with criminal exposure – or whether to bring criminal charges at all. 

Hugo Williamson, Co-Founder Of The Risk Resolution Group, Joins IPSA International

Date 17/09/2014

IPSA International, Inc. (IPSA), an international risk advisory firm, is pleased to announce that Hugo Williamson has joined as Managing Director in the company's London office. Mr. Williamson will be responsible for IPSA's growth and client relations throughout the United Kingdom, Europe and Africa, and will play a key advisory role on new emerging market opportunities and initiatives. 

CFTC Swaps Report Update

Date 17/09/2014

CFTC's Weekly Swaps Report has been updated, and is now available.

ISDA Announces Updated Implementation Date For 2014 ISDA Credit Derivatives Definitions

Date 17/09/2014

The International Swaps and Derivatives Association, Inc. (ISDA) today announced that trading using the new 2014 ISDA Credit Derivatives Definitions is expected to begin for most standard credit default swap (CDS) contracts on October 6, 2014.

Statement Of CFTC Commissioner Mark P. Wetjen Before The Open Meeting Of The Commodity Futures Trading Commission

Date 17/09/2014

Thank you, Chairman. Let me start by saying that it is a pleasure to be here today on the dais with you, Chairman Massad, and Commissioners Bowen and Giancarlo. This is our first open meeting together as commissioners, and it has been a real honor to work with each of you over these last few months. It also is a pleasure to meet you in this setting as a commission. Before turning to my remarks, I want to commend Chairman Massad for his focus on the unfinished work implementing Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), as well as his openness to appropriate fine-tuning of previous rulemakings, as reflected by the inclusion of the final rule relating to special-entities in today’s agenda.