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  • Public Statement By SEC Staff: Commission Credits Individual Under Cooperation Initiative By Robert Khuzami, Director, Division Of Enforcement

    Date 19/03/2012

    In January 2010, the Commission established a formal program to encourage and reward individuals who cooperate in SEC investigations and litigation. This Cooperation Initiative recognizes that the first-hand evidence of wrongdoing possessed by cooperators can significantly enhance the Commission's ability to stop fraud, secure strong settlement and trial outcomes and return funds to harmed investors. In particular, cooperating witnesses enable the Commission to investigate misconduct more quickly and efficiently due to the high-quality nature of their evidence; increase the likelihood of stopping ongoing misconduct, thus minimizing the amount of investor loss and number of victims; unlock the intricacies of cases involving complex markets, transactions and products; and build more and better cases against the organizers, leaders and other higher-ups who cover their tracks and operate through subordinates. The AXA Rosenberg matter reflects some of these benefits, as the senior executive cooperated early in the investigation, provided substantial assistance in the investigation, gave complete and truthful information, and facilitated the investigation of a complex and high priority case involving quantitative investment models. Due in part to his assistance, the SEC brought two enforcement actions in rapid succession, returned $217 million to victims, and imposed additional penalties totaling $27.5 million. This demonstrates that the Enforcement Division fully recognizes the value of cooperation in SEC investigations, and will seek to reward such cooperation appropriately.

  • Equity Options Exercise On BM&FBOVESPA Turns Over BRL 6.40 Billion

    Date 19/03/2012

    BM&FBOVESPA informs you that the equity options exercise today in the BOVESPA segment turned over BRL 6,409,430,360.00, of which BRL 6,047,601,200.00 in call options and BRL 361,829,160.00 in put options.

  • SEC Issues Risk Alert On Strengthening Practices For Underwriting Of Municipal Securities, And Investor Bulletin On Municipal Bonds

    Date 19/03/2012

    The Securities and Exchange Commission today issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. The agency also issued an Investor Bulletin to help educate investors about municipal bonds.

  • ICAP hires Mark Newson-Smith Into Metals Business

    Date 19/03/2012

    ICAP, the world’s leading interdealer broker, has hired Mark Newson-Smith as a broker in its metals business in London. Mark previously worked at Galena Asset Management as well as Bank of America, HSBC and Mitsui.

  • Klaus Regling Of The EFSF Speaks On The Lessons Of The Crisis In Europe At The 2012 Stock Exchange Day In Luxembourg

    Date 19/03/2012

    The Luxembourg Stock Exchange held the thirtieth edition of its “Stock Exchange Day” on 19 March 2012 in Kirchberg, Luxembourg. Nearly a thousand people representing the financial community and other sectors of economic and political life of the country and abroad attended the event. The guest speaker was Klaus Regling, CEO of the European Financial Stability Facility (EFSF) who spoke on the topic “Lessons from the crisis – Europe’s return to stability and growth”.

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