News Centre

CFTC Division Of Enforcement Issues Report On FY 2018 Results

Date 15/11/2018

The Division of Enforcement (DOE) of the Commodity Futures Trading Commission (CFTC) today issued its report outlining its major priorities and initiatives during the past Fiscal Year 2018 (FY 2018).  Enforcement Director James McDonald announced the release of the report at a speech given at NYU as part of the Program on Corporate Compliance & Enforcement. 

OneChicago Thanksgiving Holiday Trading Hours

Date 15/11/2018

OneChicago will follow the schedule below in observance of the upcoming Thanksgiving holiday, which is consistent with U.S. equity markets.

ASIC’s Review Of High-Frequency Trading Reinforces Strength Of Australian Market Structure

Date 15/11/2018

ASIC has today reported on its latest review of the impact of high-frequency trading in the Australian equity and Australian-US dollar cross-rate markets. The review builds on ASIC's 2013 and 2015 analysis of high-frequency trading.

NZX Launches Wealth Technologies Platform With Craigs

Date 15/11/2018

NZX Wealth Technologies (NZXWT) has on-boarded its foundation client, Craigs Investment Partners (Craigs), marking the launch of the exchange’s custodial wrap platform.

SEC Charges Giga Entertainment Media, Former Officers And Directors With Fraud In Pay-For-Download Campaign

Date 15/11/2018

The Securities and Exchange Commission today charged Giga Entertainment Media Inc. and five of its former officers and directors—Gary Nerlinger, Jarret Streiner, Lawrence Silver, Alfred Colucci, and Charles Noska—with fraud in connection with a scheme to mislead investors. 

FINRA Foundation Names 2018 Recipients Of First Annual Military Spouse Fellowship Program Awards - Military Spouse Fellows Support The Military Community As Accredited Financial Counselors® To Help Increase The Financial Capability Of Military Families

Date 15/11/2018

The FINRA Investor Education Foundation (FINRA Foundation) has announced the recipients of the first annual awards to FINRA Foundation Military Spouse Fellows for outstanding service and dedication to military service members and their families.

Speech Of Enforcement Director James M. Mcdonald Regarding Enforcement Trends At The CFTC, NYU School Of Law: Program On Corporate Compliance & Enforcement

Date 15/11/2018

Introduction

Thank you for that introduction.  I’m happy to be back here at NYU as part of the Program on Corporate Compliance & Enforcement (PCCE).  Over the years, the PCCE has brought together some of the best thinking in the enforcement, business, and academic community to develop a richer and deeper understanding of the causes of corporate misconduct, and how enforcement and compliance programs can most effectively deter it.  The result is that the work here at the PCCE has been a driver of some of the most significant developments in Enforcement and Compliance.

SEC Brings Additional Charges In New York Boiler Room Scheme Targeting Seniors

Date 15/11/2018

The Securities and Exchange Commission today brought additional charges against a Long Island, New York-based boiler room previously sued for defrauding elderly and unsophisticated investors. The latest charges allege that First Choice Healthcare Solutions Inc. CEO Christian Romandetti, the boiler room, and four others, manipulated the company’s shares generating more than $3.3 million of illegal profits and more than $560,000 in kickbacks for Romandetti.

AMF Technological Innovation Advisory Committee Welcomes Eight New Members

Date 15/11/2018

The Autorité des marchés financiers (“AMF”) is pleased to announce the following appointments to its Technological Innovation Advisory Committee (“TIAC”).

Federal Reserve To Review Strategies, Tools, And Communication Practices It Uses To Pursue Its Mandate Of Maximum Employment And Price Stability

Date 15/11/2018

The Federal Reserve next year will review the strategies, tools, and communication practices it uses to pursue its congressionally-assigned mandate of maximum employment and price stability. The review will include outreach to a broad range of interested stakeholders.