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  • Paula Drake Named Chief Counsel And Chief Compliance And Ethics Officer Of SEC's Office Of Compliance Inspections And Examinations

    Date 09/07/2012

    The Securities and Exchange Commission today announced that Paula Drake has been appointed an Associate Director to serve as Chief Counsel and Chief Compliance and Ethics Officer in the SEC's Office of Compliance Inspections and Examinations (OCIE). Starting August 6, Ms. Drake will oversee a staff of eight lawyers and coordinate the efforts of attorney advisors in the SEC's eleven regional offices.

  • Federal Court In Texas Orders Robert Mihailovich, Sr. And Growth Capital Management LLC To Pay Over $9.3 Million In CFTC Anti-fraud Action

    Date 09/07/2012

    The U.S. Commodity Futures Trading Commission (CFTC) today announced that it obtained an order of permanent injunction against defendants Robert Mihailovich, Sr. (Mihailovich, Sr.) of Rockwall, Texas, and Growth Capital Management LLC (GCM) requiring Mihailovich, Sr. and GCM to make restitution to defrauded customers, disgorge ill-gotten gains, and pay a civil monetary penalty together, totaling over $9.3 million for fraudulently soliciting over $30 million from customers to trade commodity futures contracts and foreign currency (forex). The order also imposes permanent trading and registration bans against the defendants.

  • European Parliament: Bank Troubles And Eurozone's Future Shape Dominate Draghi Discussion

    Date 09/07/2012

    A "reasonable concept by the end of the year" for EU bank supervision is the top priority, ECB President Mario Draghi told Economic and Monetary Affairs Committee MEPs on Monday. The ECB could undertake this task, with the European Parliament having a central role to ensure democratic accountability and legitimacy, he insisted.

  • The Dow Jones-UBS Commodity Indexes’ Industry Commentary

    Date 09/07/2012

    This commentary is a monthly analysis of the commodities universe written by Christine Marie Nielsen, a veteran financial journalist. For eight years, Ms. Nielsen covered the Chicago futures exchange and economic news for Dow Jones Newswires. She's also hosted a syndicated radio show on the stock and futures markets from the floor of the Chicago Board of Trade. Ms. Nielsen currently works as an editor on MarketsWiki.com, an online open source knowledge project for current and historical information about the global exchange-traded capital, derivatives, environmental and related OTC markets.

  • DTCC Calls On Industry To "Fully Dematerialize" U.S. Financial Services Market

    Date 09/07/2012

    The Depository Trust & Clearing Corporation (DTCC) today outlined a proposal to fully dematerialize the U.S. financial services industry, helping reduce the costs and risks associated with existing physical securities.  The multi-year program is designed to further drive the elimination of all remaining physical certificates in the U.S. market.