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Date 13/08/2012
ISDA Publishes August 2012 Dodd-Frank Protocol - ISDA And Markit Launch ISDA Amend To Automate Process
The International Swaps and Derivatives Association, Inc. (ISDA) today announced the launch of the August 2012 Dodd-Frank Protocol.
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Date 13/08/2012
CFTC Settles Action Against Douglas Elsworth Wilson And Three California Companies For Solicitation Fraud, Misappropriating Customer Funds, And Issuing False Statements In Commodity Futures And Forex Scheme - Federal Court Orders Defendants To Pay Over $5.4 Million In Restitution And Civil Monetary Penalties
The U.S. Commodity Futures Trading Commission (CFTC) today announced that on August 9, 2012, a federal court in California entered a consent order that requires defendants Douglas Elsworth Wilsonof Poway, Calif., and three companies he controls and manages, Elsworth Berg Capital Management LLC (EBCM), Elsworth Berg Inc., and Elsworth Berg FX LLC (collectively, Elsworth Berg) jointly and severally to pay $3,965,670.71 in restitution to customers as well as a $1.5 million civil monetary penalty. The order also imposes permanent trading and registration bans and permanent injunctions against further violations of federal commodities law, as alleged.
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Date 13/08/2012
CFTC Charges Colorado Resident Michael Bruce Gale With Commodity Pool Fraud - Gale Also Charged With Misappropriation, Commingling Investor Funds, False Statements, And Failure To Register - Federal Court Issues Emergency Order Freezing Gale’s Assets And Protecting Books And Records
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it filed a civil anti-fraud enforcement action against Michael Bruce Gale (Gale) of Littleton, Colo., individually and doing business as Capital Management Group (CMG). The CFTC complaint charges Gale with defrauding investors in connection with operating a commodity pool to trade commodity futures contracts, making false statements to pool participants, misappropriating pool funds, commingling investor funds with pool funds, and failing to register as a commodity pool operator with the CFTC.
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Date 13/08/2012
U.S. Department Of Justice: Three Indicted In New York In $5 Million Fraud Scheme
Two of three men who allegedly defrauded an individual in a funds leasing scheme have been arrested on an indictment charging them with conspiracy and wire fraud. Thomas Bannon, the president of Overseas Investors LLC; Robert Bardey, an attorney; and Theodore Sweeten, the president of Symtech International Inc., are charged in an 11-count indictment in federal court in Brooklyn. Bardey was arrested and arraigned on July 30, 2012. Sweeten was arrested on Aug. 10, 2012, and his initial appearance is scheduled this afternoon before U.S. Magistrate Judge Michael J. Watanabe at the Alfred A. Arraj U.S. Courthouse in Denver. Bannon is a fugitive. The case has been assigned to U.S. District Judge Nicholas G. Garaufis in the Eastern District of New York.
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Date 13/08/2012
KCBT Labor Day Trading Hours - Schedule For Days Surrounding The Labor Day Holiday
In coordination with U.S. stock and commodity exchanges, the Kansas City Board of Trade will observe the following trading hours on the days before and after the upcoming Labor Day holiday.
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Date 13/08/2012
The Autorité Des Marchés Financiers Draws Attention To Publication Of The European “EMIR” Regulation
Regulation n° 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTCderivatives, central counterparties and trade repositories (EMIR) was published in the Official Journal of the European Union on 27 July 2012. It will come into force on 16 August 2012
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Date 13/08/2012
NYSE Euronext: Corporate Board Member/FTI Consulting Survey Finds Companies Focusing On Rising Legal Risks
Escalating risk surrounding cyber security and IT strategy, operations and corporate reputation are top concerns for U.S. directors and general counsel as revealed in the 12th annual Law and the Boardroom Study by Corporate Board Member, an NYSE Euronext company, and FTI Consulting, Inc. (NYSE: FCN).
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Date 13/08/2012
Closure Of Bursa Malaysia Berhad – Hari Raya Aidil Fitri Celebrations
Bursa Malaysia would like to announce that all its offices will be closed on Monday, 20 August 2012 and Tuesday, 21 August 2012 in conjunction with the Hari Raya Aidil Fitri celebrations. The Exchange will resume its operations on Wednesday, 22 August 2012.
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Date 13/08/2012
TMX Group's Razor Risk 3.0 Launches At ASX - Latest Version Of Razor Risk Brings Significant Improvements
TMX Group Inc.'s (TSX:X) technology business, TMX Technology Solutions, today announced that Razor Risk 3.0 launched at ASX Group (ASX), Australia's multi-asset class, vertically integrated exchange group, and one of the world's top-10 listed exchanges.
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Date 13/08/2012
Press Conference by Tadahiro Matsushita, Japan's Minister For Financial Services - Securities Firms Internal Control Systems And Governance
(Excerpt)
(Tuesday, August 7, 2012, from 9:27 a.m. to 10:05 a.m.)
[Questions & Answers]
- Q.
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Regarding insider trading related to public offerings of new shares, a media report has stated that Japan Advisory had business relations with all of the 12 companies ordered to review their information management systems. Is that true? If so, what actions will the Financial Services Agency (FSA) take?
- A.
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In relation to their systems for managing corporate information, on August 3, the 12 companies reported, first, on their internal organization, second, on the management status of corporate information and, third, on their challenges and countermeasures.
I would like to refrain from commenting on the specifics of their reports.
However, I understand that even though the companies have developed systems for managing corporate information to a reasonable degree, they have identified new challenges in light of the series of insider trading cases and they will make improvement efforts.
As to the status of specific transactions, such as transactions with Japan Advisory, I would like to refrain from making comments.
Generally speaking, if a problem is recognized, the FSA will of course appropriately share information with the Securities and Exchange Surveillance Commission (SESC). The FSA will also take strict actions in accordance with the laws and regulations.
On June 29, the FSA rescinded Japan Advisory's registration and ordered the company to improve its business operation, as you know.
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