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Date 20/09/2012
Hong Kong's Securities And Futures Commission Explains Financial Planning
In this issue of InvestEd Intelligence, the Securities and Futures Commission (SFC) explains why financial planning is key in meeting one’s investment objectives, weathering market turbulence and avoiding financial hardship.
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Date 20/09/2012
Nasdaq Defends Facebook IPO Compensation Plan
Nasdaq OMX Group defended its USD62 million plan to compensate firms affected by the botched Facebook IPO. In a letter to the SEC, dated September 17, Nasdaq said the proposed compensation "goes well beyond what is required under current Nasdaq rules."
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Date 20/09/2012
SIFMA Applauds Bi-partisan House Passage Of Rep. Dold Muni Advisor Legislation
SIFMA today released the following statement from Kenneth E. Bentsen, Jr., executive vice president, public policy and advocacy, after the House of Representatives passed H.R. 2827, legislation clarifying the scope of muni advisor regulations under Dodd-Frank, that was co-sponsored by Representative Dold (R-IL) and Representative Gwen Moore (D-WI).
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Date 19/09/2012
CFTC Charges Grahame Rhodes Of Missouri With Fraud, Misappropriation, And Commingling Funds In Multi-Million Dollar Commodity Pool Ponzi Scheme
The U.S. Commodity Futures Trading Commission (CFTC) today filed a federal civil enforcement action in the U.S. District Court for the Eastern District of Missouri, Eastern Division, charging Grahame Rhodes of St. Louis, Missouri, with fraud in connection with operating a decade-long, multi-million dollar commodity pool Ponzi scheme. Rhodes has never been registered with the CFTC in any capacity.
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Date 19/09/2012
Deutsche Börse: Unscheduled Component Change Made To SDAX - Schuler AG To Be Replaced By SMT Scharf AG On September 24
Deutsche Börse today announced an unscheduled component change to the SDAX. Schuler AG will be replaced by SMT Scharf AG in the index. Due to the takeover of Schuler AG by Andritz Beteiligungsgesellschaft, the company’s free float has dropped below 10 percent, making it ineligible for inclusion in the index.
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Date 19/09/2012
CFTC Charges Australian Resident Senen Pousa, U.S. Resident Joel Friant, And Their Company, Investment Intelligence Corp., With Operating A Fraudulent $53 Million Worldwide Off-Exchange Forex Scheme, And Texas-Based Michael Dillard And Elevation Group, Inc. With Registration Violations - Investment Intelligence Does Business As ProphetMax Managed FX - Federal Court Issues Order Freezing Assets Of Defendants Pousa, Friant, And Investment Intelligence, And Prohibiting Destruction Of Books And Records
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement action charging Senen Pousa of Australia, Joel Friant of Bellingham, Wash., and their company, Investment Intelligence Corporation (IIC), an Australian corporation, with operating a fraudulent off-exchange foreign currency (forex) scheme. The complaint also charges Michael Dillard and Elevation Group, Inc., both of Austin, Texas, with registration violations. The scheme allegedly accepted at least $53 million from at least 960 clients worldwide, including at least 697 clients in the United States, and clients in Australia, the United Kingdom, Canada, Germany, the Netherlands, and Singapore, among other countries. None of the defendants has ever been registered with the CFTC.
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Date 19/09/2012
European Parliament: Bank Crisis Resolution And ECB Mandate: Opening Salvoes
Draft EU bank crisis resolution legislation must reflect recent thinking on a banking union, and the European Central Bank's mandate could be overhauled to match the new position of the institution, said Economic and Monetary Affairs Committee MEPs on Wednesday, in opening debates on these issues.
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Date 19/09/2012
BATM Advanced Communications Limited Dual Listing On The TASE
BATM Advanced Communications Limited (LSE: BVC), a leading provider of real-time technologies for the networked telecoms and medical laboratory equipment markets, is pleased to announce that the ordinary shares of the Company have been approved for listing on the Tel Aviv Stock Exchange (“TASE”) under the symbol “BATM”. Trading is scheduled to commence on 19 September 2012.
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Date 19/09/2012
SEC Charges Atlanta-Based Adviser With Operating Ponzi-Like Scheme Involving Private Investment Funds
The Securities and Exchange Commission today announced charges against a private fund manager and his Atlanta-based investment advisory firm for defrauding investors in a purported “fund-of-funds” and then trying to hide trading losses by creating new private funds to make money to pay back the original fund investors in Ponzi-like fashion.
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Date 19/09/2012
Steven Maijoor, Chair Of ESMA, Spoke At The AFME Roundtable In Brussels On 18 September 2012
To view the speech, please click here.
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