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Bahamas International Securities Exchange Hurricane Closure Procedures

Date 07/09/2017

The Bahamas International Securities Exchange Limited (BISX) wishes to inform the public that due to the threat of Hurricane Irma and the issuance a Hurricane Warning for New Providence, BISX’s office will be closed Thursday 7 September 2017 at 12 p.m. Given the unpredictable nature of hurricanes, BISX will remain closed until the hurricane passes.
SEC: Bridget Fitzpatrick Named Chief Litigation Counsel - David Gottesman To Continue As Deputy Chief Litigation Counsel

Date 07/09/2017

The Securities and Exchange Commission today announced the leadership of the agency’s trial unit. Bridget Fitzpatrick has been named Chief Litigation Counsel of the SEC and David Gottesman will continue to serve as the agency’s Deputy Chief Litigation Counsel.
CFTC Financial Data For Futures Commission Merchants Update

Date 07/09/2017

Futures commission merchants (FCMs) and retail foreign exchange dealers (RFEDs) must file monthly financial reports with the CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO) within 17 business days after the end of the month. Selected financial information from these reports is published below. The most recent month-end information generally is added within 12 business days after FCMs and RFEDs file their reports, but occasionally may be added later. For example: The 17th business day filing “due date" for February 28, 2015 financial reports was March 25, 2015. The 12 business day target for posting these data was April 10, 2015.
Ontario Securities Commission Announces Speakers For Dialogue 2017

Date 07/09/2017

The Ontario Securities Commission (OSC) announced the agenda and speakers’ lineup for Dialogue 2017, the OSC’s annual conference, which brings together market participants to discuss important issues and trends facing the capital markets.
New York State Department Of Financial Services Fines Habib Bank And Its New York Branch $225 Million For Failure To Comply With Laws And Regulations Designed To Combat Money Laundering, Terrorist Financing, And Other Illicit Financial Transactions - Financial Services Superintendent Maria T. Vullo Exercises Her Authority To Expand The Scope Of An Independent Review And Issues Surrender Order Imposing Conditions For The Orderly Wind Down Of Habib’s New York Branch - New Consent Order Follows A 2016 Examination Finding Continued Weaknesses In The Bank’s Risk Management And Compliance Following A Prior 2015 Consent Order

Date 07/09/2017

Financial Services Superintendent Maria T. Vullo today announced that the Department of Financial Services (DFS) has fined Habib Bank and its New York branch $225 million for failure to comply with New York laws and regulations designed to combat money laundering, terrorist financing, and other illicit financial transactions. The new consent order follows a 2016 DFS examination that found weaknesses in the bank’s risk management and compliance and the bank’s failure to undertake extensive remedial actions required by a 2015 consent order. As a result of DFS’s most-recent findings, Superintendent Vullo has exercised her authority provided by the 2015 consent order to expand the scope of an independent review of the bank’s operations. In addition, Habib Bank has agreed to surrender its license to operate the New York branch upon fulfillment of conditions outlined in a separate Surrender Order to ensure the orderly wind down of the New York branch.

SEC: Former Amazon Employee And College Friend Charged With Insider Trading

Date 07/09/2017

The Securities and Exchange Commission today announced insider trading charges against a former Amazon financial analyst who allegedly leaked confidential information to his former fraternity brother in advance of a company earnings announcement so they could turn an illegal profit. The college friend and his trading partner also are charged in the SEC’s complaint.
ISDA Launches Latest Version Of ISDA SIMM Non-cleared Derivatives Margin Model

Date 07/09/2017

The International Swaps and Derivatives Association, Inc. (ISDA) has announced the launch of the latest version of the Standard Initial Margin Model (ISDA SIMM), which incorporates a number of enhancements to further develop the methodology.
MIAX Options Exchange: Consolidated Audit Trail ( CAT ) Fee Dispute Resolution Rule

Date 07/09/2017

On August 30, 2017, the Securities and Exchange Commission approved MIAX Options' rule filing to adopt MIAX Options Rule 1713 (Consolidated Audit Trail – Fee Dispute Resolution).
CME Group Chairman And Chief Executive Officer And Chief Financial Officer To Present At Barclays Conference

Date 07/09/2017

CME Group announced today that Terry Duffy, Chairman and Chief Executive Officer, and John Pietrowicz, Chief Financial Officer, will present at the Barclays Global Financial Services Conference in New York on Tuesday, September 12, at 11:15 a.m. (Eastern Time).
Euronext Announces Quarterly Review Results For The AEX, AMX, ASCX

Date 07/09/2017

Euronext today announced the results of the quarterly review of the AEX®, AMX® and AScX® indices. The changes due to the review will be effective from Monday 18 September 2017.