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  • CalPERS Comments On Paris Agreement Decision

    Date 01/06/2017

    The California Public Employees' Retirement System (CalPERS) has issued the following statement from Marcie Frost, chief executive officer of CalPERS, concerning the decision today by President Donald Trump to withdraw the United States from the Paris Climate Change Agreement:

    "CalPERS supports the Paris Agreement because it makes financial sense. It's notable that the decision to withdraw from the Paris Agreement comes just one day after ExxonMobil shareowners passed a resolution calling on the company to disclose climate change risks. There is growing support in the business and financial community for the goals of the Paris Agreement – to limit global warming to 2 degrees or less."

  • Public Comments From Retail Investors And Other Interested Parties On Standards Of Conduct For Investment Advisers And Broker-Dealers, SEC Chairman Jay Clayton, June 1, 2017

    Date 01/06/2017

    The Department of Labor recently stated that the applicability date for what is commonly referred to as the "Fiduciary Rule" would be June 9, 2017.  The Department also stated that it intended to issue a Request for Information regarding various aspects of its Fiduciary Rule. In connection with these actions, Secretary Acosta stated his desire that the Department of Labor and the Securities and Exchange Commission ("SEC" or "Commission") engage constructively as we each pursue our ongoing analyses of the standards of conduct applicable to investment advisers and broker-dealers when they provide investment advice to retail investors.

  • Strategic Initiatives To Improve Regulator's Effectiveness - IIROC 2018 Priorities Position Public Interest Regulator For The Future

    Date 01/06/2017

    The Investment Industry Regulatory Organization of Canada (IIROC) today published its 2018 Priorities, outlining 16 key areas of focus where the public interest regulator will take action to better protect investors and promote healthy capital markets in Canada.

  • OCC Cleared Contract Volume Up 19 Percent In May

    Date 01/06/2017

    • Securities Lending Activity Up 26 Percent in May and 19 Percent Year-to-Date
    • Cleared Futures Volume Up Record 61 Percent in May
    • Index Options Volume Up 21 percent in May
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  • FINRA Bars Former Morgan Stanley Registered Representative For Using Nominee Accounts To Conceal $190 Million In Venezuelan Bond Trades

    Date 01/06/2017

    The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing approximately $190 million in Venezuelan bond trades from the firm, which had restricted such trading due to the regulatory, anti-money laundering and reputational risks it posed. Instead, Bocchino continued to trade in Venezuelan bonds on behalf of his customers, but hid the trades from the firm by using several nominee accounts in the names of well-known U.S. financial institutions, and directing the trades through those accounts. Unbeknownst to these financial institutions, Bocchino executed approximately 300 Venezuelan bond trades in the accounts opened in their names. To further conceal his customers’ trading, Bocchino created hundreds of firm documents, including new account forms and trade tickets, that contained false information.

MV 120 X 600 Hard to Reach