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Canadian Securities Regulators Adopt Amendments To The Auditor Oversight Rule

Date 17/07/2014

The Canadian Securities Administrators (CSA) today published final amendments to NI 52-108Auditor Oversight, which alter the ‘triggers’ for when an audit firm must notify securities regulators about significant remedial actions imposed on the firm by the Canadian Public Accountability Board (CPAB).
NY DFS Releases Proposed Bitlicense Regulatory Framework For Virtual Currency Firms - Framework Includes Consumer Protection, Anti-Money Laundering, And Cyber Security Rules For Virtual Currency Businesses - Proposed Regulations Submitted For A 45-Day Notice And Comment Period To Solicit Public Feedback

Date 17/07/2014

Benjamin M. Lawsky, Superintendent of Financial Services, today announced that the New York State Department of Financial Services (DFS) has issued for public comment a proposed “BitLicense” regulatory framework for New York virtual currency businesses. The proposed regulatory framework – which is the product of a nearly year-long DFS inquiry, including public hearings that the Department held in January 2014 – contains consumer protection, anti-money laundering compliance, and cyber security rules tailored for virtual currency firms.
SEC Charges Self-Described Bankers, Dishonest Brokers, And Microcap Company Executive In Pump-And-Dump Scheme

Date 17/07/2014

The Securities and Exchange Commission today charged individuals who pocketed millions of dollars running an elaborate pump-and-dump scheme involving shares of a medical education company in Pennsylvania and two other microcap stocks.
Thomas Murray Data Services Launches Total Risk Solution For Depositary Banks Under AIFMD

Date 17/07/2014

Thomas Murray Data Services has launched a suite of products and has been working with a number of depositary banks to provide a total risk solution to ensure depositary bank compliance with the Alternative Investment Fund Managers Directive (AIFMD).
SEC Statement On The Anniversary Of The Dodd-Frank Act

Date 17/07/2014

The fourth anniversary of the passage of the Dodd-Frank Act provides an opportunity to reflect on why the Act was passed, how the SEC has used the Act to promote financial stability and protect American investors, and what remains to be completed. The financial crisis was devastating, resulting in untold losses for American households and demonstrating the need for strong and effective regulatory action to prevent any recurrence.

South China Morning Post Article About TOCOM Providing DMA From Hong Kong

Date 17/07/2014

On July 16, 2014, Tokyo Commodity Exchange, Inc. (TOCOM), held a seminar introducing its offering of direct market access (DMA) among other things to market participants in Hong Kong. Ahead of the seminar, South China Morning Post interviewed Mr. Hamada (Senior Executive Managing Officer & COO of TOCOM) about TOCOM providing DMA to market participants in Hong Kong and posted the related article.
SEC Charges Seattle Firm and Owner With Misusing Client Assets For Vacation Home And Vintage Automobile

Date 17/07/2014

The Securities and Exchange Commission today charged the owner of a Seattle-based investment advisory firm with fraudulently misusing client assets to make loans to himself to buy a luxury vacation home and refinance a rare vintage automobile.
Successful Bond Issue Of $ 750 Million By The Republic Of Côte d'Ivoire

Date 17/07/2014

The Republic of Côte d’Ivoire (“Côte d’Ivoire” or the “Republic”) (rated B1 (positive outlook) by Moody’s and B (positive outlook) by Fitch), today successfully priced a landmark debut USD 750 million 10-year 144A/Reg S bond at a re-offer yield of 5.625% p.a. (equivalent to a coupon of 5.375% and a spread of 298 bps over 10Y USD Mid-Swaps) maturing in July 2024.
Instinet Wins Three Awards In Waters Rankings 2014

Date 17/07/2014

Instinet Incorporated today announced that Instinet, LLC, its U.S. brokerage subsidiary, has reconfirmed its position as a leading institutional, agency-only, electronic brokerage following the announcement of Waters Rankings 2014.
FINRA Announces Arbitration Task Force

Date 17/07/2014

The Financial Industry Regulatory Authority (FINRA) announced today the formation of a 13-member Arbitration Task Force to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA's securities arbitration forum for all participants.