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Marex Spectron: Cleared Clean Spark Spread Contract Launched

Date 26/04/2012

Marex Spectron Group (“Marex Spectron”), the global commodities and financial markets brokerage, is pleased to announce it has launched a cleared clean UK spark spread service.
Hong Kong's Securities And Futures Commission Secures Short Selling Convictions

Date 26/04/2012

The Eastern Magistrates Court today fined seven investors a total of $71,000, ranging from $2,000 to $30,000 each, after they had pleaded guilty to 11 charges of illegal short selling shares of Imagi International Holdings Limited (Imagi) in May 2010.
New Zealand's Financial Markets Authority Welcomes Petricevic Sentencing

Date 26/04/2012

The Financial Markets Authority today welcomed the High Court's sentencing of former Bridgecorp director Rodney Petricevic.
Attorney, Wall Street Trader, And Middleman Settle SEC Charges In $32 Million Insider Trading Case

Date 25/04/2012

The Securities and Exchange Commission today announced a settlement in a $32 million insider trading case filed by the agency last year against a corporate attorney and a Wall Street trader.
CalPERS Releases First-Ever Report On Sustainable Investing

Date 25/04/2012

The California Public Employees’ Retirement System (CalPERS) announced today it has released its first-ever report chronicling the pension fund’s efforts on sustainable investing at the CERES innovation and sustainability conference in Boston, Massachusetts.

SEC Charges Former Morgan Stanley Executive With FCPA Violations And Investment Adviser Fraud

Date 25/04/2012

The Securities and Exchange Commission today charged a former executive at Morgan Stanley with violating the Foreign Corrupt Practices Act (FCPA) as well as securities laws for investment advisers by secretly acquiring millions of dollars worth of real estate investments for himself and an influential Chinese official who in turn steered business to Morgan Stanley’s funds.
Component Changes Made To Dow Jones Islamic Market Malaysia Titans 25 Index

Date 25/04/2012

Bumi Armada Bhd will be added to the Dow Jones Islamic Market Malaysia Titans 25 Index, following the removal of Kencana Petroleum Bhd due to its acquisition by SapuraCrest Petroleum Bhd, Dow Jones Indexes announced today.
CFTC Charges Georgia Resident Robert A. Christy And His Company Crabapple Capital Group LLC With Foreign Currency Fraud And Misappropriation - Federal Court Enters Emergency Order Freezing Defendants’ Assets And Protecting Books And Records

Date 25/04/2012

The U.S. Commodity Futures Trading Commission (CFTC) today announced that on April 19, 2012, Judge Richard W. Story of the U.S. District Court for the Northern District of Georgia, entered an emergency order freezing the assets of defendants Robert A. Christy of Milton, Ga., and his companyCrabapple Capital Group LLC (Crabapple) of Alpharetta, Ga. The order also prohibits the defendants from destroying or altering books and records. The judge set a hearing date for May 1, 2012.
FINRA Statement On Introduction Of Investment Adviser Oversight Act Of 2012

Date 25/04/2012

"The bipartisan bill, Investment Adviser Oversight Act of 2012, introduced today is an important and thoughtful effort to address a serious gap in investor protection. The bill recognizes the need for regular exams of investment advisers, while rightly focusing on retail accounts.
SIFMA Market Close Recommendations For The UK May Day Holiday And The Japanese Showa Day, Constitutional Day And Greenery Day Holidays In The UK And Japan

Date 25/04/2012

In observance of the UK May Day Holiday and the Japanese Showa Day, Constitutional Day and Greenery Day Holidays, SIFMA made market close recommendations in the U.K. and Japan.