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  • New Zealand's Financial Markets Authority: Home Detention For National Finance Director

    Date 12/03/2013

    National Finance director Anthony Banbrook has today been sentenced to eight and a half months' home detention and ordered to pay $75,000 in reparations in a prosecution taken by the Financial Markets Authority.

  • Hong Kong's Securities and Futures Commission Bans Calvin Ho Kei Him For 14 Months

    Date 12/03/2013

    The Securities and Futures Commission (SFC) has banned Mr Calvin Ho Kei Him, a former research associate at Morgan Stanley Asia Limited, from re-entering the industry for 14 months from 12 March 2013 to 11 May 2014.

  • Financial Industry Addresses Alleged Large Bank Subsidy

    Date 11/03/2013

    Today, the Financial Services Forum, the Financial Services Roundtable, The Clearing House, Securities Industry and Financial Markets Association, and the American Bankers Association, released the following policy brief in response to questionable assertions of a “taxpayer subsidy” to large banks. 

  • CFTC: Federal Court In New York Orders Madison Dean, Inc. And Its Principal, George Athanasatos, To Pay Over $1.4 Million To Settle Forex Fraud Charges In CFTC Enforcement Action

    Date 11/03/2013

    The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained a federal court Order against Defendants Madison Dean, Inc. (Madison Dean), of Wantagh, N.Y., and its principal, George Athanasatos, also of Wantagh, requiring them jointly to pay nearly $250,000 in restitution to defrauded customers. The Consent Order of Permanent Injunction, entered by Judge Joseph F. Bianco of the U.S. District Court for the Eastern District of New York, also imposes a $1 million civil monetary penalty on Madison Dean and a penalty of $210,000 on Athanasatos. The Order imposes permanent trading and registration bans against both defendants and prohibits them from violating the anti-fraud provisions of the Commodity Exchange Act, as charged.

  • SIFMA Announces New White Paper: “The Evolving Role Of Compliance”

    Date 11/03/2013

    SIFMA today announced the availability of a new white paper, “The Evolving Role of Compliance.” This white paper examines the responsibilities, opportunities and limitations of the Compliance function in the evolving financial industry and builds upon a 2005 white paper issued by SIFMA titled “The Role of Compliance.”  “The Evolving Role of Compliance” is a collaborative effort between SIFMA, the SIFMA Compliance & Legal Society, and the SIFMA Compliance and Regulatory Policy Committee. 

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