News Centre

Nasdaq Included In Dow Jones Sustainability Index - Joins Nasdaq-Listed Companies Including Adobe, Intel, And Starbucks

Date 14/09/2016

Nasdaq (Nasdaq:NDAQ) today announced it has been selected to join the Dow Jones Sustainability Indices (DJSI). Nasdaq is one of 16 companies added to the Dow Jones Sustainability North America Index in 2016, which is comprised of 146 companies.

CFTC Wins Jury Verdict In Commodity Pool Fraud Case - Defendant Grace Elizabeth Reisinger Is Found Responsible For Futures Fraud, Options Fraud And CPO Fraud, As Well As Registration Violations

Date 14/09/2016

The U.S. Commodity Futures Trading Commission (CFTC) announced today that a jury in the U.S. District Court for the Northern District of Illinois foundGrace Elizabeth Reisinger of Grand Island, Nebraska, liable for operating a fraudulent commodity pool scheme between 2005 and 2008. The CFTC charged that Reisinger and her company, ROF Consulting, LLC(ROF), fraudulently solicited and accepted at least $2.75 million from participants in the NCCN commodity pool, operated by Reisinger.  The jury deliberated for less than 90 minutes before returning a liability verdict on all charges.  The trial capped off years of contentious litigation, beginning with the filing of a Complaint on June 29, 2011.  (See CFTC Complaint and Press Release 6065-11, June 30, 2011.)

The SEC’s Whistleblower Program: The Successful Early Years, Andrew Ceresney, Director, Division Of Enforcement, Sixteenth Annual Taxpayers Against Fraud Conference, Washington, D.C., Sept. 14, 2016

Date 14/09/2016

Introduction

Good morning and thank you Molly [Knobler] for that very kind introduction. It’s a pleasure to speak with you all today. Before I start, I must give our standard disclaimer that the views I express today are my own and do not necessarily reflect the views of the Commission or its staff.

Packaged Retail Investment Products: European Parliament Returns Draft Law To Commission

Date 14/09/2016

Draft legislation designed to protect retail investors was rejected by MEPs on Wednesday as so “flawed and misleading” that it could actually lose them money. Unusually, it will be returned to the EU Commission for revision.

European Commission Sets Up Task Force Led By Michel Barnier As Chief Negotiator For The Preparation And Conduct Of The Negotiations With The United Kingdom

Date 14/09/2016

Today, the Commission decided to set up a Task Force for the preparation and conduct of the negotiations with the United Kingdom under Article 50 of the TEU ("Article 50 Task Force").

European Commission - Fact Sheet - State Of The Union 2016: Questions And Answers On The Communication On Capital Markets Union - Accelerating Reform

Date 14/09/2016

ISDA Appoints EBRD Treasurer To Board Of Directors

Date 14/09/2016

The International Swaps and Derivatives Association, Inc. (ISDA) has announced the appointment of Axel van Nederveen, Treasurer of the European Bank for Reconstruction and Development (EBRD), to its Board of Directors.

FINRA Fines Ameriprise Financial Services, Inc. $850,000 For Failing To Supervise The Transmittal Of Funds From Customer Brokerage Accounts - Office Manager Took $370,000 From Own Family’s Brokerage Accounts

Date 14/09/2016

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Ameriprise Financial Services, Inc. $850,000 for failing to detect the conversion of more than $370,000 from five customer brokerage accounts by one of its registered representatives. Ameriprise failed to adequately investigate red flags associated with nine third-party wire requests, including that the funds were being transmitted to a business bank account associated with an Ameriprise representative. The conversion went undetected for two years because Ameriprise failed to establish and enforce a supervisory system reasonably designed to adequately monitor the transmittal of funds from customer accounts to third parties, including those controlled by registered representatives of the firm. After Ameriprise discovered the misconduct, it paid restitution, plus interest and related fees, to the customers. FINRA barred the representative in June 2014.

European Commission: Completing The Capital Markets Union – Commission Accelerates Reform

Date 14/09/2016

"Imagine a Finnish start-up that cannot get a bank loan. Right now, the options are limited. The Capital Markets Union will offer alternative, vital sources of funding to help start-ups get started – business angels, venture capital, market financing." – President Juncker, State of the Union 2016

London Stock Exchange Group Board Appointment

Date 14/09/2016

London Stock Exchange Group plc (LSEG) today announces that Andrea Munari will step down from the Board of London Stock Exchange Group plc ( “the Board”)  and that Andrea Sironi will join the LSEG plc Board as a Non-Executive Director, on 1 October 2016