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ASIFMA Annual Conference: EU-Asia Financial Services Dialogue Mizuguchi Jun - Senior Deputy Commissioner For International Affairs, Financial Services Agency Of Japan - Chair, IOSCO Asia-Pacific Regional Committee 10 October, 2019, At Conrad Tokyo

Date 16/10/2019

Thank you very much for your introduction. I am delighted to see the 7th ASIFMA Annual Conference taking place in Tokyo for the first time. It is a great honor for me to have the opportunity to speak at this conference today.
US Department Of Justice: Turkish Bank Charged In Manhattan Federal Court For Its Participation In A Multibillion-Dollar Iranian Sanctions Evasion Scheme

Date 15/10/2019

The Department of Justice announced that TÜRKİYE HALK BANKASI A.S., aka “Halkbank,” was charged today in a six-count indictment with fraud, money laundering, and sanctions offenses related to the bank’s participation in a multibillion-dollar scheme to evade U.S. sanctions on Iran. The case is assigned to United States District Judge Richard M. Berman.
Dual-Class Shares: A Recipe For Disaster, Rick Fleming, SEC Investor Advocate, ICGN Miami Conference, Miami, Florida, Oct. 15, 2019

Date 15/10/2019

Thank you, Kerrie Waring, for your kind introduction. I appreciate the opportunity to speak at a conference where you will spend the next two days discussing the stewardship responsibilities of shareholders. I know you take those responsibilities seriously, and I do my best to encourage a regulatory environment that makes companies accountable to their shareholders.
CME Group Announces First Trades Of New Shanghai Gold Futures

Date 15/10/2019

CME Group, the world's leading and most diverse derivatives marketplace, today announced the first trades of the new Shanghai Gold (USD) futures and Shanghai Gold (CNH) futures contracts, launched on October 14, 2019 were executed by Bank of China. A total of nine futures contracts were traded by various commercial customers on October 14.
Federal Court Orders Managed Fund And CEO To Pay More Than $17.2 Million In A Commodities Fraud Scheme

Date 15/10/2019

The U.S. Commodity Futures Trading Commission today announced a default judgment was entered on October 3rd against defendants Fabio Bretas de Freitas, of Miami, Florida, and Phy Capital Investments LLC, a registered commodity pool operator and commodity trading advisor, for fraud and misappropriation of client funds.

SEC Promotes Teacher Investment Outreach

Date 15/10/2019

The Securities and Exchange Commission today announced several teacher investment outreach efforts in connection with its Teachers Initiative. These initiatives include the launch of a podcast series for public school educators, nationwide events for teachers, and the RISE 2.0 of California summit in Los Angeles on Oct. 17. The outreach efforts advance the Commission’s commitment to protecting America’s educators when they invest in the securities markets by informing educators about the importance of savings and investing, researching investment products and financial professionals before investing, and identifying the red flags of investment fraud.
PIABA Foundation Study Warns Out-Of-Control Finra Broker Expungement Process Is “Broken,” Urges Independent Investor Advocate - Sham “$1.00 Expungement Cases” Are Exploited By Brokers, Lawyers To Line Up Friendly Arbitrators … And Cost FINRA Millions Of Dollars; Given Extent Of Abuses, FINRA’s BrokerCheck System No Longer Seen As A Reliable Information Source For Investors

Date 15/10/2019

An in-depth review of the handling of 1,078 FINRA arbitration cases from 2015-2018 where brokers sought to erase (or “expunge”) investor complaints from their record shows that the process is “broken” as a result of being “systematically gamed, exploited and abused” by brokers and brokerage firms. Among the key problems found: bogus “$1.00 Expungement Cases” involving the filing of sham charges in a bid to slash costs and reduce the number of arbitrators reviewing the request from three arbitrators to one; and gaming FINRA’s procedures and coordinating to select friendly arbitrators.
Statement On The Passing Of Chancellor William T. Allen, SEC Commissioner Robert J. Jackson Jr., Oct. 15, 2019

Date 15/10/2019

This week brought the terribly sad news of the passing of renowned jurist, scholar, and counselor William T. Allen, who served for twelve years as Chancellor of Delaware’s Court of Chancery. Chancellor Allen will be forever remembered for his landmark contributions to the Nation’s business law. His wisdom will echo throughout our markets for years to come.
Monetary Policy: Adapting To A Changed World - Speech By Gertjan Vlieghe, Bank Of England, External Monetary Policy Committee Member, Given At The 2019 MMF Monetary And Financial Policy Conference, Bloomberg, London

Date 15/10/2019

We’ve changed the way we think about the economy since the financial crisis, and we’ve adapted how we set monetary policy.
Supervisor Charged For Role In Brokerage Firm’s Improper Handling Of ADRs

Date 15/10/2019

The Securities and Exchange Commission today announced that Domenick Migliorato, a former supervisor of the securities lending desk at Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), has agreed to settle charges for his supervisory failures involving the improper handling of transactions involving American Depositary Receipts (ADRs). Earlier this year, ICBCFS agreed to pay more than $42 million to settle the SEC’s charges against the firm.