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gfacapital.org: BaFin Investigates The Company GFA Capital
Date 08/08/2023
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company GFA Capital and the services it is offering. BaFin has information that the company is offering financial and investment services on its website gfacapital.org without the required authorisation.
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globalrockies.ch: BaFin Investigates The Company Global Rockies
Date 08/08/2023
The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Global Rockies and the services it is offering. BaFin has information that the company is offering financial and investment services on its website globalrockies.ch without the required authorisation
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CFTC Orders A Los Angeles Futures Commission Merchant To Pay $6 Million For Recordkeeping And Supervision Failures For Widespread Use Of Unapproved Communication Methods
Date 08/08/2023
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Wedbush Securities Inc., a Los Angeles, California-based registered futures commission merchant, for failing to maintain, preserve, or produce records required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to its business as a CFTC registrant. Wedbush admits the facts in the order and acknowledges the conduct violated the Commodity Exchange Act and CFTC regulations.
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CFTC Orders Four Financial Institutions To Pay Total Of $260 Million For Recordkeeping And Supervision Failures For Widespread Use Of Unapproved Communication Methods
Date 08/08/2023
The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant (FCM) affiliates of four financial institutions for failing to maintain, preserve, or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants.
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Dream Exchange Announces New Investors
Date 08/08/2023
Dream Exchange, is proud to announce that Fortune 500 executives Dereck and Regina Gray, Darrick and Dr. Monique Johnson, as well as Corey Johnson have proudly become investors in the Dream Exchange. They join a consortium of investors from many industries, backgrounds, and areas of expertise who have a firm commitment to changing our public capital market system.
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SEC Charges 11 Wall Street Firms With Widespread Recordkeeping Failures - Firms Admit To Wrongdoing And Agree To Pay Penalties Totaling $289 Million
Date 08/08/2023
The Securities and Exchange Commission today announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders. They acknowledged that their conduct violated recordkeeping provisions of the federal securities laws, agreed to pay combined penalties of $289 million as outlined below, and have begun implementing improvements to their compliance policies and procedures to address these violations.
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Statement Of CFTC Commissioner Christy Goldsmith Romero In Support Of Holding Banks Accountable For Widespread Use Of Personal Text Messaging And/Or Whatsapp To Evade Regulatory Oversight - CFTC Enforcement Action Against Wells Fargo, BNP Paribas, Societe Generale, And Bank Of Montreal
Date 08/08/2023
I support this enforcement action against a Wall Street bank (Wells Fargo) and a group of large foreign banks (BNP Paribas and Societe Generale, both headquartered in France with U.S. registered brokers or dealers and Bank of Montreal, headquartered in Canada), as another victory in holding banks accountable for their pervasive use of unauthorized communication methods, like private texts and in some cases Whatsapp, violating the law and evading regulatory oversight requirements. Together with our previous offline communications enforcement actions, the Commission has levied over $1 billion in penalties against 18 Wall Street institutions and large foreign banks, sending a zero tolerance message to those who seek to evade regulatory oversight. This is combined with $1.5 billion in penalties from the SEC, for a total of more than $2.5 billion in penalties.
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ESMA Publishes Latest Edition Of Its Newsletter
Date 08/08/2023
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its latest edition of the Spotlight on Markets Newsletter.
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Statement Of CFTC Commissioner Kristin N. Johnson Regarding The CFTC’s Reaching Over $1 Billion In Civil Monetary Penalties Against Bank-Affiliated Entities For Employees’ Offline Communications
Date 08/08/2023
Today, the Commodity Futures Trading Commission (CFTC or Commission) issued a series of orders settling charges against swap dealers and their affiliated futures commission merchants (Bank-Affiliated Entities). According to the CFTC’s investigation, employees at the Bank-Affiliated Entities failed to comply with CFTC recordkeeping requirements, as well as firm-wide internal recordkeeping policies. The investigation also found that managers failed to diligently supervise their employees’ compliance with recordkeeping obligations.
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Tehran Stock Exchange Bulletin - July 2023
Date 08/08/2023
Click here to download Tehran Stock Exchange's monthly bulletin.
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