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  • SEC Announces Award To Whistleblower In First Retaliation Case

    Date 28/04/2015

    The Securities and Exchange Commission today announced a maximum whistleblower award payment of 30 percent of amounts collected in connection with In the Matter of Paradigm Capital Management, Inc. and Candace King Weir, File No. 3-15930 (June 16, 2014), the SEC’s first retaliation case.  The whistleblower will receive over $600,000 for providing key original information that led to the successful SEC enforcement action.  The whistleblower in this matter suffered unique hardships, including retaliation, as a result of reporting to the Commission. 

  • Platts Report: China Oil Demand Climbed 6.5% Year Over Year In March - Highest Growth Rate Since September Driven By Recovery In Gasoil Demand

    Date 28/04/2015

    China's apparent oil demand* in March increased 6.5% from a year earlier to 44.73 million metric tons (mt), or an average 10.58 million barrels per day (b/d), according to a just-released Platts analysis of Chinese government data.

  • FINRA Files Cease And Desist Order Against Avenir Financial Group, CEO Michael Clements, And Registered Representative Karim Ibrahim For Fraud Against Elderly Investors - Registered Representative Cesar Rodriguez Barred For Fraud And Improper Use Of Customer Funds

    Date 28/04/2015

    The Financial Industry Regulatory Authority (FINRA) announced yesterday that Avenir Financial Group, its CEO Michael Clements, and registered representative Karim Ibrahim aka Chris Allen consented to an order halting further fraudulent sales of equity interests in the firm and promissory notes pending a hearing on fraud charges relating to the same offerings. The sales, which occurred from October 2013 to the present, were often to elderly customers of the firm, and the respondents' capital-raising practices were continuing. FINRA obtained the order based on its concern regarding ongoing customer harm and depletion of investor assets prior to the completion of a formal disciplinary proceeding against the firm and these individuals. FINRA also permanently barred registered representative Cesar Rodriguez from the securities industry for fraud and for improperly using $77,000 of investor funds for personal expenses in a related offering.

  • IIROC 2015-2016 Priorities

    Date 28/04/2015

    Over the last several years, Canada’s capital markets have continued to experience significant and unprecedented change.  There have been sweeping changes to the business environment in which investment firms operate, in the way technology and innovation are affecting the overall market structure and services being offered to clients, and in the evolution of the client-advisor relationship.   Changing demographics, investor needs and expectations are posing new opportunities and challenges for regulators and the broader financial services industry. 

  • British Columbia Securities Commission Man Settles With BCSC For Illegally Trading In Securities

    Date 28/04/2015

    In a settlement agreement with the British Columbia Securities Commission (BCSC), Daniel Quo Ming Sam has admitted that he engaged in an illegal distribution of securities. 

  • The Buy Side Report - Toronto Stock Exchange And TSX Venture Exchange

    Date 28/04/2015

    Welcome to the third edition of "The Buy Side Report," a new quarterly information feature about Canada's leading equities markets, Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV). The quarterly publication presents detailed market data about sector index performance, share price and trading information, insight into foreign investment in Canadian equities, as well as an up-to-date economics viewpoint provided by an external contributor each quarter.

  • FIA Global Issues Recommendations On Central Clearing Risks

    Date 28/04/2015

    Today, FIA Global issued recommendations for assessing and managing risks that arise from central counterparty (CCP) clearing. 

  • Semi - Annual Review Of FTSE/ATHEX Index Series

    Date 28/04/2015

    The FTSE/ATHEX Indices Advisory Committee met and approved the following changes in the composition of the FTSE/ATHEX Index Series, taking into consideration the results of the review for the period October 2014 - March 2015.

  • Moscow Exchange Announces Result Of AGM

    Date 28/04/2015

    Moscow Exchange held its Annual General Meeting of Shareholders (AGM) on 28 April 2015. Shareholders approved the company"s annual report for 2014, FY 2014 financial statements and distribution of profit, including dividends for FY 2014.

  • ASIC: FC Stone Australia Pty Ltd Pays $130,000 Infringement Notice Penalty

    Date 28/04/2015

    FC Stone Australia Pty Ltd ("FC Stone") has paid a total penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel ("MDP"). The MDP  had reasonable grounds to believe that FC Stone had contravened subsection 798H(1) of the Corporations Acton several occasions by failing to comply with certain ASIC (ASX24) market integrity rules.

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