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Spreading Sunshine In Private Equity: Andrew J. Bowden, Director, SEC Office Of Compliance Inspections And Examinations - Private Equity International (PEI), Private Fund Compliance Forum 2014, New York, NY, May 6, 2014

Date 06/05/2014

Introduction

Good morning, and thank you very much for that kind introduction.  Before I begin, I’ll remind you that the Securities and Exchange Commission disclaims responsibility for any statement or private publication by any of its employees, including me.  The views expressed here are my own and do not necessarily reflect the views of the Commission, the Commissioners, or of other members of the staff.

TMX Group Equity Financing Statistics - April 2014 - Toronto Stock Exchange, TSX Venture Exchange

Date 06/05/2014

TMX Group today announced its financing activity on Toronto Stock Exchange and TSX Venture Exchange for April 2014.

A. J. G. Cairns And A. D. Wilkie Publish New Research On The New Yield Curve For The FTSE-Actuaries BGS Indices

Date 06/05/2014

FTSE announced a number of enhancements to the FTSE Actuaries UK Gilts Index Series.

FIA Issues Second SEF Tracker Report On Swap Trading Activity

Date 06/05/2014

The Futures Industry Association today published the second issue of FIA SEF Tracker, a periodic report on trading activity taking place on swap execution facilities. 

New York Governor Cuomo Announces New Cyber Security Assessments For Banks

Date 06/05/2014

Governor Cuomo today announced the release of a cyber security report that shows the growing risk and sophistication of cyber attacks facing New York banks, and directed the Department of Financial Services (DFS) to conduct new, regular, targeted cyber security preparedness assessments of the banks DFS regulates. To view the report released today, please click here.

Qatar Exchange Closes New York Leg Of Investor Forums To Coincide With Inclusion Of Qatar In MSCI Emerging Markets Index

Date 06/05/2014

Qatar Exchange (QE), in collaboration with QNB Financial Services and Bank of America Merrill Lynch, today completed a two day roadshow, the first leg of a week-long exercise also including London, that aimed to support the further development and practice of QE’s listed companies’ investor relations.

EBA Publishes Risk Dashboard For EU Banking Sector

Date 06/05/2014

The European Banking Authority (EBA) published today the first risk dashboard for 2014 summarising the main risks and vulnerabilities in the banking sector in the European Union (EU), based on the evolution of Key Risk Indicators (KRI) from 55 banks across the EU in the fourth quarter of 2013. This release of the Dashboard includes a one-off annex on aggregate risk parameters aimed at achieving transparency regarding EU banks' risk parameters, allowing comparison across countries and geographical areas.

ADX Discusses Relations With Brokers

Date 06/05/2014

In line with its efforts of facilitating coordination and communication with its multiple stakeholders, Abu Dhabi Securities Exchange (ADX) held a meeting with a number of its licensed brokerage firms to discuss strategy and services that ADX provides to brokers. 

Non Jordanian Investment At The Amman Stock Exchange During April 2014

Date 06/05/2014

The total value of shares that were bought by Non-Jordanian investors since the beginning of the year until the end of April 2014 was JD138.2 million, representing 14.3% of the overall trading value, while the value of shares sold by them amounted to JD157.3 million. As a result, the net of non-Jordanian investments showed a decrease of JD19.1 million, compared to an increase of JD61.5 million for the same period of 2013.  

FINRA Fines Morgan Stanley Smith Barney LLC $5,000,000 For Supervisory Failures Related To Sales Of Shares In 83 Initial Public Offerings To Retail Customers

Date 06/05/2014

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney LLC $5,000,000 for supervisory failures related to the solicitation of retail customers to invest in initial public offerings (IPOs). From February 16, 2012, to May 1, 2013, Morgan Stanley Smith Barney sold shares to retail customers in 83 IPOs, including Facebook and Yelp, without having adequate procedures and training to ensure that its sales staff distinguished between "indications of interest" and "conditional offers" in its solicitations of potential investors.