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Date 20/11/2012
Remarks During News Conference Call About Enforcement Actions Against J.P. Morgan And Credit Suisse By Robert Khuzami, Director Of The SEC’s Division of Enforcement, U.S. Securities And Exchange Commission
A basic tenet of our nation’s financial system is that investors must be given accurate information upon which to base their investment decisions.
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Date 20/11/2012
MSCI Named A Top Firm In RiskTech100®
MSCI Inc. (NYSE: MSCI), a leading provider of investment decision support tools worldwide, today announced it has been named a top 10 risk management technology firm in the RiskTech100® rankings by Chartis Research, a leading provider of research and analysis on global risk technology markets. MSCI was also named the top firm in the Market Risk and Fund & Asset Management categories.
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Date 20/11/2012
Remarks During News Conference Announcing Charges in a $276 Million Insider Trading Scheme By Robert Khuzami, Director Of The SEC’s Division Of Enforcement, U.S. Securities And Exchange Commission
Good afternoon.
Today, once again, I find myself here alongside our criminal law enforcement partners announcing new charges of insider trading by yet another prominent hedge fund firm and its portfolio manager.
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Date 20/11/2012
DTCC And STA Agree On Protocol For Presentment Of Physical Securities
The Depository Trust & Clearing Corporation (DTCC) today announced that is has come to an agreement with representatives of the Securities Transfer Association (STA) on the protocol for the presentment of evidence of ownership in lieu of physical certificates which are currently inaccessible in DTCC’s 55 Water Street offices. The agreement balances the needs of the transfer agents and issuers, while facilitating DTCC’s ability to efficiently continue physical processing on behalf of the industry while its vault inventory is inaccessible.
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Date 20/11/2012
Speech By Federal Reserve Chairman Bernanke On The Economic Recovery And Economic Policy
Good afternoon. I am pleased to join the New York Economic Club for lunch today. I know that many of you and your friends and neighbors are still recovering from the effects of Hurricane Sandy, and I want to let you know that our thoughts are with everyone who has suffered during the storm and its aftermath.
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Date 20/11/2012
IOSCO Emerging Markets Prepare For Bigger Role In The Global Economy
The emerging market members of the International Organization of Securities Commissions (IOSCO) met in Santiago de Chile this week to continue work aimed at preparing emerging securities markets to play a bigger role in driving growth in the global economy. Fernando Coloma, Chair of the Superintendencia de Valores y Seguros, Chile, chaired the meeting. Masamichi Kono, Chairman of the IOSCO Board attended the meeting.
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Date 20/11/2012
New York Attorney General Schneiderman Sues Credit Suisse For Fraudulent Residential Mortgage-Backed Securities - Lawsuit Charges Credit Suisse Misrepresented Loan Quality Review Process, Deceived Investors & Contributed To Mortgage Crisis - Continued Legal Action by State-Federal Residential Mortgage-Backed Securities Working Group - Schneiderman: Credit Suisse RMBS Trusts Incurred Billions In Losses And Will Be Held Accountable
Attorney General Eric T. Schneiderman today filed a Martin Act complaint against Credit Suisse Securities (USA) LLC and its affiliates for making fraudulent misrepresentations and omissions to promote the sale of residential mortgage-backed securities (RMBS) to investors. According to Attorney General Schneiderman’s lawsuit, Credit Suisse deceived investors as to the care with which they evaluated the quality of mortgage loans packaged into residential mortgage-backed securities prior to 2008. RMBS sponsored and underwritten by Credit Suisse in 2006 and 2007 have suffered losses of approximately $11.2 billion.
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Date 20/11/2012
Lorraine Echavarria Named Associate Regional Director To Lead Enforcement Program In SEC’s Los Angeles Office
The Securities and Exchange Commission today announced that Lorraine B. Echavarria has been promoted to lead the Los Angeles Regional Office’s enforcement program as an Associate Regional Director.
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Date 20/11/2012
S&P Dow Jones Indices, TMX Group Launch Preferred Share Laddered And Equal Weight Sector Indices - Indices Licensed To BMO Asset Management For The Development Of ETFs
S&P Dow Jones Indices and TMX Group Inc. announced today the launch of three new Canadian indices: the S&P/TSX Preferred Share Laddered index, the S&P/TSX Equal Weight Global Gold index and the S&P/TSX Equal Weight Industrials index. Each of the indices has been licensed by S&P Dow Jones Indices to BMO Asset Management for potential exchange traded products to be listed on Toronto Stock Exchange.
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Date 20/11/2012
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues No-Action Letter On The Pay-To-Play Rules For Swap Dealers Conducting Business With Certain Governmental Special Entities
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter addressing the pay-to-play rules applicable to swap dealers who conduct business with certain governmental special entities.
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