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CFTC Files Nine Enforcement Actions Addressing Fraudulent Binary Options Solicitations And One Addressing Cross-Exchange Manipulation

Date 27/09/2018

The Commodity Futures Trading Commission (CFTC) issued seven orders today filing and simultaneously settling charges against various respondents, and also filed two complaints against various defendants, for violations of the Commodity Exchange Act (CEA) and Commission Regulations (Regulations) relating to fraudulent binary options solicitations, and one order filing and simultaneously settling charges for violations of the Act and Regulations relating to cross-exchange manipulation, as set forth below and as more fully described in the related press releases linked below.
FINRA Launches New SIE Exam To Streamline Examination Process For Prospective Candidates Entering The Securities Industry

Date 27/09/2018

Starting Monday, October 1, FINRA will offer a new qualification exam—the Securities Industry Essentials (SIE)—for prospective candidates seeking to enter or re-enter the securities industry.
Canadian Securities Regulators Release Fourth Review Regarding Women On Boards And Executive Officer Positions

Date 27/09/2018

Securities regulatory authorities in Alberta, Manitoba, New Brunswick, Nova Scotia, Ontario, Quebec and Saskatchewan (the participating jurisdictions) today published CSA Multilateral Staff Notice 58-310 Report on Fourth Staff Review of Disclosure regarding Women on Boards and in Executive Officer Positions.
SIFMA Appoints Joseph L. Seidel COO

Date 27/09/2018

SIFMA today announced it has appointed Joseph L. Seidel as chief operating officer. Mr. Seidel joins SIFMA from Credit Suisse where he served as managing director and senior counsel, head of U.S. Public Policy. Mr. Seidel will report to SIFMA president and CEO Kenneth E. Bentsen, Jr. and will manage day to day operations of the Association, including core legal, regulatory, business practices, public policy and communications activities. Mr. Seidel will start at SIFMA on November 19th.
Alberta’s Largest Companies Continue To Report Highest Participation Of Women On Boards

Date 27/09/2018

The Alberta Securities Commission (ASC) today participated in the publication of CSA Multilateral Staff Notice 58-310 Report on Fourth Staff Review of Disclosure regarding Women on Boards and in Executive Officer Positions.

ESMA Updates The CSDR Q&As

Date 27/09/2018

The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers (Q&As) regarding the implementation of the Central Securities Depository Regulation (CSDR).
Lacey Dingman, Chief Human Capital Officer And Director Of Human Resources, To Leave SEC

Date 27/09/2018

The Securities and Exchange Commission today announced that Lacey Dingman, the Chief Human Capital Officer (CHCO) and Director of the Office of Human Resources (OHR), will leave the agency at the end of September.
ESMA Updates Its Q&As Regarding The Benchmark Regulation

Date 27/09/2018

The European Securities and Markets Authority (ESMA) has today updated its Questions and Answers (Q&As) on the Benchmarks Regulation (BMR).
Online Marketers Charged With Conning Main Street Investors Through Rags-To-Riches Infomercials - SEC Issues Video Warning To Investors

Date 27/09/2018

The Securities and Exchange Commission today charged a group of internet marketers who allegedly created and disseminated elaborate rags-to-riches videos to trick retirees and other retail investors into opening brokerage accounts and trading high-risk securities known as binary options.
Danske Bank Whistleblower Demands Protection

Date 27/09/2018

Internationally respected whistleblower lawyers have demanded that law enforcement authorities in Estonia and Denmark take immediate action to protect the Danske Bank whistleblower Howard Wilkinson. The whistleblower lawyers’ letter, was triggered by a leak to an Estonia newspaper revealing for the first time the identity of the whistleblower. A copy of the letter is linked here.