News Centre

New Zealand's Financial Markets Authority Welcomes First Listing On New NXT Market

Date 16/06/2015

The Financial Markets Authority (FMA) says the first listing this week on the NXT market sparks a new era of innovative capital raising in New Zealand.

New York Governor Cuomo Issues Consumer Tips To Help Protect Against Financial Exploitation Of The Elderly - On World Elder Abuse Awareness Day, The Governor Advises Older Americans, Their Caregivers And Service Providers On Steps To Guard Against Financial Scams

Date 15/06/2015

Governor Andrew M. Cuomo today urged older Americans, their caregivers and service providers in New York to guard against various forms of elder financial exploitation. Today is World Elder Abuse Awareness Day – a global day dedicated to elevating the visibility of elder abuse and neglect. To view the consumer tips issued by the Governor, please visit here.

IIROC Proposes Amendments To Market Integrity Rules To Align With CSA Changes

Date 15/06/2015

The Investment Industry Organization of Canada (IIROC) on 12 June issued for comment proposed amendments to the Universal Market Integrity Rules (UMIR) to align with a proposal by Canadian Securities Administrators (CSA) which clarifies the interpretation of a protected order.

Autorité Des Marchés Financiers: Together We Can Prevent Elder Abuse

Date 15/06/2015

As part of World Elder Abuse Awareness Day, the Autorité des marchés financiers (the “AMF”) is encouraging Quebeckers to be on the watch for financial exploitation and to report such cases.

Alberta Securities Commission Warns Albertans About The Risks Seniors Face Of Becoming Victims Of Investment Fraud - The ASC Provides Tips To Help Safeguard Elderly Albertans From Fraud

Date 15/06/2015

Today marks World Elder Abuse Awareness Day, and the Alberta Securities Commission (ASC) is warning Albertans about the risks seniors face of becoming victims of investment fraud. Adult children are encouraged to talk to their parents about investing and help them avoid losing their hard-earned money to a fraudulent investment scheme.

US Attorney General Lynch Delivers Remarks At Magna Carta Commemoration Ceremony, London, United Kingdom ~ Monday, June 15, 2015

Date 15/06/2015

Thank you, Secretary [Philip] Hammond, for that kind introduction.  Your Excellencies, distinguished colleagues, honored guests – it is a pleasure to be here this morning, and a great privilege to join you all at this important commemoration.

Treasury International Capital Data For April

Date 15/06/2015

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for April 2015.  The next release, which will report on data for May 2015, is scheduled for July 16, 2015.

Former Chief Executive Officer Of Oil Services Company Pleads Guilty To Foreign Bribery Charge

Date 15/06/2015

The former co-chief executive officer (CEO) of PetroTiger Ltd. – a British Virgin Islands oil and gas company with operations in Colombia and formerly with an office in New Jersey – pleaded guilty today to conspiring to pay bribes to a foreign government official in violation of the Foreign Corrupt Practices Act (FCPA).

Mutual Funds - The Next 75 Years, SEC Commissioner Kara M. Stein, Brookings Institution, Washington, D.C., June 15, 2015

Date 15/06/2015

Thank you, Doug, for that kind introduction.   

Before I begin my remarks, I must make the standard disclaimer you hear from SEC Commissioners: the views that I am expressing today are my own, and do not necessarily reflect those of the Commission, my fellow Commissioners, or the staff of the Commission.

I am very pleased to be at the Brookings Institution this morning.  Brookings has a long and proud history of tackling difficult public policy issues and fostering robust public debate.  Recent discussions on the role of capital markets in today’s economy and systemic risk in the asset management industry are important contributions to the national dialogue.  So, thank you to the Brookings Institution for continuing to drive important conversations.  And thank you for having me here today. 

SEC: Investment Advisory Firm’s Former President Charged With Stealing Client Funds

Date 15/06/2015

The Securities and Exchange Commission today announced fraud charges against a Washington D.C.-based investment advisory firm’s former president accused of stealing client funds.  The firm and its chief compliance officer separately agreed to settle charges that they were responsible for compliance failures and other violations.