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  • SEC Charges Four Brokers With Defrauding Customers In $18.7 Million Scheme

    Date 05/10/2012

    The Securities and Exchange Commission today charged four brokers who formerly  worked on the cash desk at a New York-based broker-dealer with illegally  overcharging customers $18.7 million by using hidden markups and markdowns and  secretly keeping portions of profitable customer trades.

  • UK's Financial Services Authority Bans Payments From Discretionary Investment Managers To Advisers

    Date 05/10/2012

    The Financial Services Authority (FSA) is consulting on a change to its adviser charging rules to ensure advisory firms do not receive any kick-back payments from discretionary investment managers in exchange for recommending their services. Under the Retail Distribution Review’s adviser charging rules, advisory firms should only be paid for the personal recommendations and related services they provide to their clients through the charge agreed with their client. They should not be remunerated by discretionary investment managers.

  • CFTC Releases Enforcement Division’s Annual Results - Agency Filed 102 Enforcement Actions, The Highest Number Of Cases Ever For The CFTC In One Year, Bringing The Two-Year Total To More Than 200 Actions

    Date 05/10/2012

    The Commodity Futures Trading Commission (CFTC) today announced that it filed 102 enforcement cases in fiscal year 2012 (FY 12).  During the past two fiscal years, the Commission filed a total of 201 enforcement actions, representing a significant increase from past years. The Division of Enforcement (Division) also opened more than 350 new investigations in FY 12, among the highest annual count of new investigations in program history.   In addition, the Division obtained orders imposing more than $585 million in sanctions, including orders imposing more than $416 million in civil monetary penalties and directing the payment of more than $169 million in restitution and disgorgement.

  • Malawi Stock Exchange Weekly Report

    Date 05/10/2012

    Please click here to download the MSE Weekly Report.

  • TOM Insight September 2012

    Date 05/10/2012

    Click here to download TOM’s September‘ 12 Insight, a document describing matching statistics on TOM MTF and savings made for the retail client by TOM Smart Execution.

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