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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.
CBOE Holdings Declares Second Quarter 2012 Dividend

Date 25/04/2012

CBOE Holdings, Inc. (NASDAQ: CBOE) announced today that its Board of Directors has declared a quarterly cash dividend of $0.12 per share of common stock payable on June 22, 2012, to stockholders of record at the close of business onJune 1, 2012.
Federal Reserve Board And Federal Open Market Committee Release Economic Projections From The April 24-25 FOMC Meeting

Date 25/04/2012

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached table and charts summarizing the economic projections and the target federal funds rate projections made by Federal Reserve Board members and Federal Reserve Bank presidents for the April 24-25 meeting of the Committee.
CFTC Releases Rule Enforcement Review Of NYSE Liffe U.S.

Date 25/04/2012

The Commodity Futures Trading Commission (Commission) has notified NYSE Liffe U.S. (NYSE Liffe or Exchange) of the results of a rule enforcement review completed by the Commission’s Division of Market Oversight (Division). The review covered the period from November 1, 2009, through November 1, 2010 (target period). The Division assessed NYSE Liffe’s compliance with core principles relating to its trade practice surveillance program. NYSE Liffe contracted with the National Futures Association (NFA) to perform certain regulatory services on behalf of the Exchange, including trade practice surveillance. Therefore, the review also examined NFA’s performance of its NYSE Liffe trade practice surveillance responsibilities.