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SEC Charges Morgan Stanley Smith Barney For Policy Deficiencies That Resulted In Failure To Prevent And Detect Its Financial Advisors’ Theft Of Investor Funds
Date 09/12/2024
The Securities and Exchange Commission today charged Morgan Stanley Smith Barney LLC (MSSB) with failing to reasonably supervise four investment adviser and registered representatives (hereafter, financial advisors) who stole millions of dollars of advisory clients’ and brokerage customers’ funds and for failing to adopt policies and procedures reasonably designed to prevent and detect such theft. To settle the charges, MSSB agreed to pay a $15 million penalty and accept certain undertakings.
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SEC Charges Ian Bell With Defrauding Professional Athletes And Others In Fraudulent Day-Trading Scheme
Date 09/12/2024
The Securities and Exchange Commission today charged Denver resident Ian G. Bell with securities fraud for lying to investors and misappropriating their funds in connection with a fraudulent day-trading scheme.
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Federal Reserve Board Provides Technical Clarification That Its Account Access Guidelines Apply To Excess Balance Accounts
Date 09/12/2024
The Federal Reserve Board on Monday provided a technical clarification that its account access guidelines also apply to excess balance accounts, known as EBAs. An EBA is a limited-purpose account at a Federal Reserve Bank established for maintaining the reserve balances of eligible institutions. An EBA is managed by an agent on behalf of the participating institutions.
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CFTC Swaps Report Update
Date 09/12/2024
CFTC's Weekly Swaps Report has been updated, and is now available: http://www.cftc.gov/MarketReports/SwapsReports/index.htm.
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CME Group: Micro E-mini Equity Index Futures Surpass 3 Billion Contracts Traded
Date 09/12/2024
CME Group, the world's leading derivatives marketplace, today announced that as of
November 29 , more than 3 billion Micro E-mini Equity Index futures traded across all four indices.
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SEC Announces Departure Of Trading and Markets Division Director Haoxiang Zhu - Deputy Director David Saltiel To Serve As Acting Director
Date 09/12/2024
The Securities and Exchange Commission today announced that Haoxiang Zhu, Director of the Division of Trading and Markets, will depart the agency effective Dec. 10, 2024. Upon Mr. Zhu’s departure, David Saltiel, a Deputy Director who also heads the Division’s Office of Analytics and Research, will serve as Acting Director.
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EACH’s Women In Clearing Series – Inspiration With Vicky Hsu, BlackRock
Date 09/12/2024
Following the successful launch of the Women in Clearing Network, in March 2024 EACH launched EACH’s Women in Clearing Series, an initiative with the objective of featuring a key female leader on a regular basis to inspire other professionals in the industry.
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CFTC Commissioner Johnson To Speak At The AI Summit New York 2024
Date 09/12/2024
WHAT:
Commissioner Kristin N. Johnson will speak on a panel titled “Navigating the Global AI Landscape: Striking a Balance Between Regulation and Innovation” at The AI Summit New York 2024.
WHEN:
Thursday, December 12, 2024
1:20 p.m. (EST)WHERE:
Javits Convention Center
655 West 34th Street
New York, NY 10014
Additional Information: The AI Summit New York 2024 -
Finansinspektionen Supervision 30: The Banks Can Strengthen Their Sanction Screening
Date 09/12/2024
FI has tested the effectiveness of 19 banks' automated sanction screening systems. The result shows that the effectiveness of the systems that the banks use could be higher and that there is room for some banks to improve their work in this area.
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CFTC Commissioner Johnson To Participate in Fire-Side Chat At Reuters Next 2024
Date 09/12/2024
WHAT:
Commissioner Kristin N. Johnson will participate in a fire-side chat exploring the rise of AI in financial markets at the 2024 Reuters Next New York event.
WHEN:
Wednesday, December 11, 2024
10:40 a.m. (EST)WHERE:
Quorum by Convene, Avenue of the Americas
1221 6th Ave
New York, NY 10020
Additional Information: Reuters Next 2024