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  • SEC Halts Boiler Room Scheme Involving State Lottery Tickets

    Date 27/03/2017

    The Securities and Exchange Commission today announced charges against a Florida-based company, its CEO, and its top sales agent accused of conducting a boiler room scheme that solicits investments in a business purportedly facilitating online and cell phone sales of lottery tickets in various states.

  • Davisco Foods International, Inc. Ordered To Pay $150,000 Penalty For Acting As A Futures Commission Merchant Without Registering With The CFTC

    Date 27/03/2017

    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Davisco Foods International, Inc., based in Le Sueur, Minnesota, for failure to register with the CFTC as a Futures Commission Merchant (FCM).

  • FINRA And Exchanges Charge Lek Securities And CEO Samuel F. Lek With Aiding And Abetting Securities Fraud - Charges Also Include Market Access Rule, Supervisory And Other Violations

    Date 27/03/2017

    The Financial Industry Regulatory Authority, along with the New York Stock Exchange; NYSE Arca; NYSE MKT; the four Bats Exchanges, Bats BZX, Bats BYX, Bats EDGA, and Bats EDGX; Nasdaq; Nasdaq BX; and the International Securities Exchange, today announced that they have commenced disciplinary proceedings against Lek Securities Corporation and its Chief Executive Officer, Samuel F. Lek, for aiding and abetting manipulative trading by one of its customers. Together, the complaints allege that Lek Securities and Lek aided and abetted extensive manipulative trading in a customer account known as “Avalon” from October 2010 through June 2015, which impacted both equities and options markets. Lek Securities is also charged with aiding and abetting Avalon’s operation of an unregistered broker-dealer.

  • Bank Of England: Financial Policy Committee Statement From Its Meeting, 22 March 2017

    Date 27/03/2017

    1. At its meeting on 22 March, the Financial Policy Committee (FPC) reviewed developments since its meetings on 23 and 29 November 2016.  The FPC assessed the outlook for UK financial stability by identifying the risks faced by the UK financial system and assessing the resilience of the system to them.  In doing so, its aim is that the financial system can continue to provide essential services to the real economy, even in adverse circumstances.

  • MOEX And DCE Announce New Areas Of Cooperation In MOU

    Date 27/03/2017

    Moscow Exchange ("MOEX") and Dalian Commodity Exchange ("DCE"), announced today that they have signed a Memorandum of Understanding ("MOU"), aimed at expanding the cooperation between the two exchanges in terms of information sharing, high-level visits, training and exchange programmes for staff, and other areas of business cooperation.