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Remarks Before The 5th Annual DCIIA Public Policy Forum, David W. Grim, SEC Deputy Director, Division Of Investment Management, Washington, DC, April 3, 2014

Date 09/04/2014

I. Introduction

Good afternoon and thank you for that kind introduction. It is a pleasure to be here today to speak with you about the work of the SEC’s Division of Investment Management. Before I begin, it is my obligation to remind you that my remarks today represent my own views and not necessarily the views of the Commission, the individual Commissioners or my colleagues on the Commission staff.

UK's Financial Conduct Authority Publishes Guidance On Pension Reforms Announced In Budget 2014

Date 09/04/2014

The Financial Conduct Authority (FCA) today published guidance for firms following the changes to pension legislation, announced in Budget 2014.

MGEX Hits Number Three On The Daily Open Interest Records

Date 09/04/2014

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reached the third highest daily Exchange open interest record after Tuesday’s trade date, jumping 19 spots on the record sheet from Monday’s open interest. Total open interest for Hard Red Spring Wheat (HRSW) and Apple Juice Concentrate (AJC) futures and options was reported at 79,746 open contracts.  

Minutes Of The Federal Open Market Committee, March 18-19, 2014

Date 09/04/2014

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on March 18-19, 2014 and of the conference call held on March 4, 2014. A summary of economic projections made by Federal Reserve Board members and Reserve Bank presidents for the meeting is also included as an addendum to these minutes.

OCC Assesses $25 Million Penalty Against Bank Of America, N.A. And FIA Card Services, N.A. - Orders $459.5 Million In Restitution To Customers For Unfair Billing Practices

Date 09/04/2014

The Office of the Comptroller of the Currency (OCC) today assessed a $25 million penalty against Bank of America, N.A., Charlotte, North Carolina, and its credit card subsidiary FIA Card Services, N.A., Wilmington, Delaware, (collectively, the bank), and ordered restitution totaling approximately $459.5 million to 1.9 million consumer accounts.

SEC Charges Hewlett-Packard With FCPA Violations - Company To Pay $108 Million To Settle Civil And Criminal Cases

Date 09/04/2014

The Securities and Exchange Commission today charged Hewlett-Packard with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries in three different countries made improper payments to government officials to obtain or retain lucrative public contracts.

OCC Bulletin: Oil And Gas Production Lending: New Comptroller's Handbook Booklet And Rescissions

Date 09/04/2014

Summary

The Office of the Comptroller of the Currency (OCC) issued today the “Oil and Gas Production Lending” booklet, which is new to the Comptroller’s Handbook. This booklet provides guidance on oil and gas production lending, including an overview of oil and gas markets, lending structures, types of reserves, associated risks, and supervisory expectations for risk management.

World Economic And Financial Surveys - Global Financial Stability Report - Moving From Liquidity- To Growth-Driven Markets, April 2014

Date 09/04/2014

The April 2014 Global Financial Stability Report (GFSR) assesses the challenging transitions that the global financial system is currently undergoing on the path to greater stability. Chapter 1 finds that these transitions are far from complete, and stability conditions are far from normal. For advanced and emerging market economies alike, a successful shift from liquidity-driven to growth-driven markets requires a number of elements. The report discusses these elements, including: a normalization of U.S. monetary policy that avoids financial stability risks; financial rebalancing in emerging market economies amid tighter external financial conditions and higher corporate debt levels; further progress in the euro area’s transition from fragmentation to robust integration; and the successful implementation of Abenomics in Japan to deliver sustained growth and stable inflation. 

WSE Ranks Second In Europe By Number Of IPOs In Q1 2014

Date 09/04/2014

• WSE was Europe’s #2 by the number of IPOs in Q1 2014

DFM Company Disclosure On Reuters Report About Potential Merger Between DFM And ADX

Date 09/04/2014

With reference to the above mentioned subject, we would like to inform you that DFM is not involved in any of the discussions that had been taking place by the representatives of the governments of Dubai and Abu Dhabi or it is party to any negotiations.