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Tokyo Commodity Exchange Appoints Director Nominees For The Next Term

Date 27/05/2010

Tokyo Commodity Exchange, Inc. today announced the directorate nominees for the next term as the current term of the ten members of the board of directors is to terminate at the close of the second annual shareholders meeting next month. Below is the list of the nominees and they are scheduled to be appointed officially as a result of a resolution at above referenced meeting.
Keynote Address By Mr Andrew Khoo, Assistant Managing Director, MAS, At The Institute Of Banking And Finance Compliance Seminar 2010

Date 27/05/2010

Good afternoon. I am very pleased to join you at the second edition of this IBF compliance seminar.
Dubai Financial Market: Announces The Results Of Its BOD Meeting Held On 26/05/2010

Date 27/05/2010

Click here to download the results of the DFM's Board of Directors meeting.
SGX Academy Becomes FICS-Accredited Training Provider, To Launch Cross-Trading Course

Date 27/05/2010

Singapore Exchange (SGX) today said SGX Academy’s Securities and Derivatives Cross-Trading Training Course has been accredited by The Institute of Banking & Finance (IBF) under the Financial Industry Competency Standards (FICS) framework.
SEC Charges Money Manager And Two Associates In New York City-Based Affinity Fraud

Date 26/05/2010

The Securities and Exchange Commission today charged a purported money manager, his New York City-based investment company, and two of his associates with conducting an affinity fraud and Ponzi scheme that specifically targeted investors living in the Caribbean and African-American communities of Brooklyn.

Citigroup Pays $1.5 Million For Supervisory Failures Related To Elaborate Scheme To Misappropriate Millions In Trust Funds Belonging To Cemeteries Located In Michigan And Tennessee

Date 26/05/2010

The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. The sanction represents a $750,000 fine and disgorgement of $750,000 in commissions, which is being returned to the cemetery trusts as partial restitution.
SEC Proposes Consolidated Audit Trail System To Better Track Market Trades

Date 26/05/2010

The Securities and Exchange Commission today proposed a new rule that would require the self-regulatory organizations (SROs) to establish a consolidated audit trail system that would enable regulators to track information related to trading orders received and executed across the securities markets.
Richard G. Ketchum, Chairman & Chief Executive Officer Remarks From The 2010 FINRA Annual Conference, Baltimore, MD, May 26, 2010

Date 26/05/2010

Good morning, welcome to Baltimore, and thank you for attending the FINRA annual conference. It's nice to see so many familiar faces here today.
CFTC Awarded Certificate Of Excellence In Accountability Reporting

Date 26/05/2010

The Commodity Futures Trading Commission (CFTC) today announced it earned the Association of Government Accountants Certificate of Excellence in Accountability Reporting (CEAR) award for the CFTC’s 2009 Performance and Accountability Report.
SEC Approves Rule Changes To Enhance Municipal Securities Disclosure

Date 26/05/2010

The Securities and Exchange Commission today voted unanimously to approve rule changes improving the quality and timeliness of municipal securities disclosure.