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Comment Letter On The OFR Asset Management And Financial Stability Report

Date 15/05/2014

Today, I filed a comment letter in connection with the Office of Financial Research Asset Management and Financial Stability Report. The comment letter is available at http://www.sec.gov/comments/am-1/am1-52.pdf. It is my hope that my comments will prove useful to the discussion at the conference on the asset management industry and its activities to be held by the Financial Stability Oversight Council on May 19, 2014.
SIFMA AMG Comments On Investor Cost Of SIFI Designation For Asset Managers

Date 15/05/2014

SIFMA's Asset Management Group today released the following statement from Timothy Cameron, managing director and head of SIFMA's Asset Management Group, in response to the American Action Forum's new research on "The Investor Cost of Designating Investment Funds as Systemically Important Financial Institutions."
SEC Charges Unregistered Securities Salesman For Selling Millions Of Dollars In Oil-And-Gas Investments

Date 15/05/2014

The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a broker-dealer or associated with a registered broker-dealer.
CFTC Charges Florida-Based Palm Beach Capital LLC And Lawrence Scott Spain with Engaging In Illegal, Off-Exchange Precious Metals Transactions

Date 15/05/2014

The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a civil injunctive enforcement action in the U.S. District Court for the Southern District of Florida against DefendantsPalm Beach Capital LLC (PBC) of Palm Beach, Florida, and its owner and manager, Lawrence Scott Spain, of Boca Raton, Florida. The CFTC Complaint charges the Defendants with engaging in illegal, off-exchange transactions in precious metals with retail customers on a leveraged, margined, or financed basis. The Complaint further alleges that Spain, as controlling person for PBC, is liable for PBC’s violations of the Commodity Exchange Act (CEA).
SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades For Unregistered Firm

Date 15/05/2014

The Securities and Exchange Commission today charged New York-based Rafferty Capital Markets with illegally facilitating trades for another firm that wasn’t registered as a broker-dealer as required under the federal securities laws.

Chief Accountant Paul Beswick To Leave SEC

Date 15/05/2014

The Securities and Exchange Commission today announced that Chief Accountant Paul A. Beswick is leaving the agency to return to the private sector. He will remain for a transitional period to help ensure continuity in the agency’s Office of the Chief Accountant (OCA).
Call For Papers For The Third EBA Policy Research Workshop

Date 15/05/2014

The European Banking Authority (EBA) launches today a call for research papers in view of its third policy research workshop taking place on 25-26 November 2014 in London on the topic "How to measure the riskiness of banks".
ShaMaran Lists Its First Bond Issue On Oslo Børs

Date 15/05/2014

The oil company ShaMaran Petroleum listed its first bond issue on Oslo Børs today. Foreign companies are increasingly turning to the Oslo Børs fixed income marketplaces to raise loan capital.
SIX Exchange Regulation Delisting Absolute Invest AG, Zug

Date 15/05/2014

On 7 April 2014, Absolute Invest AG, Zug (Swiss Security Number 4‘292‘743 / ISIN CH0042927431) applied for delisting all its bearer shares with a nominal value of CHF 0.10 each. SIX Exchange Regulation granted this application on 15 May 2014.
EEX Welcomes EUROPEX Position Paper On Power Market Design

Date 15/05/2014

The Association of European Energy Exchanges (EUROPEX) in its position paper calls for market integration of renewables, strengthening Energy Only Markets, investment in transmission capacity and an appropriate regulatory framework for the energy markets.