News Centre

Capital Markets Cooperative Research Centre (CMCRC): Thanksgiving In US Bears No Gifts For The Canadian Financial Markets - Holidays In Some Financial Markets Can Affect Market Quality In Other Countries

Date 19/11/2014

The Capital Markets Cooperative Research Centre (CMCRC) has released analysis showing that the US Thanksgiving holiday negatively impacts the quality of Canadian securities markets.

Human Rights Campaign Names DTCC a "Best Place to Work" For Third Consecutive Year

Date 19/11/2014

The Human Rights Campaign (HRC) has named The Depository Trust & Clearing Corporation (DTCC) a 2015 “Best Place to Work” for lesbian, gay, bisexual and transgender (LGBT) employees, marking the third consecutive year that DTCC has been honored with the designation.

Remarks At 31st International Conference On The Foreign Corrupt Practices Act, Andrew Ceresney, Director, SEC Division Of Enforcement, National Harbor, Maryland, Nov. 19, 2014

Date 19/11/2014

Introduction

At the outset, let me give the requisite reminder that the views I express today are my own and do not necessarily represent the views of the Commission or its staff.

I am very excited to be here again this year to discuss the latest developments in the SEC’s FCPA enforcement. Pursuing such violations remains a critical part of our enforcement efforts, as international bribery has many nefarious impacts, including sapping investor confidence in the legitimacy of a company’s performance and undermining the accuracy of a company's books and records.

Minutes Of The Federal Open Market Committee, October 28-29, 2014

Date 19/11/2014

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on October 28-29, 2014.

Steven Maijoor, Chair Of ESMA, Speaks At CFA Conference - Regulatory Measures To Prevent Another Crisis

Date 19/11/2014

Steven Maijoor, Chair of ESMA, today gave the keynote speech  at the "Regulatory measures to prevent another crisis?" event organised by the CFA Institute in Brussels, Belgium.

The Vital Relationship Between The Regulator And The Advisory Industry - Speech By John Griffith-Jones, Chairman Of The FCA, At The Association Of Professional Financial Advisers (APFA) Annual Gala Dinner Delivered At Banking Hall, London

Date 19/11/2014

Ladies and gentlemen, it’s a great pleasure and privilege to join everyone this evening.

A pleasure because I am a great believer in the importance of APFA and the advisor community and a privilege because, as I’ve discovered to my cost over  the last year and half or so, when you become a regulator, good dinner party invitations are rather few and far between.

London Stock Exchange Group Launches Fourth Annual Charity Trading Day

Date 19/11/2014

• Equity trading fees from today across the Group to be donated to charity
• Over £500,000 expected to be raised
• #LSEGCharityTradingDay

Regulation Systems Compliance & Integrity (SCI), SEC Commissioner Kara M. Stein

Date 19/11/2014

I also want to thank the staff in Division of Trading and Markets for their work on this important market structure rule, including David Shillman, Heidi Pilpel, David Liu, Sara Gillis Hawkins, Yue Ding, David Garcia, and Elizabeth Badawy. In addition, thank you to Jennifer Marrietta-Westberg, Amy Edwards, Chris Meeks, Seung Won Woo, and Mike Watson from the Division of Economic and Risk Analysis. I also want to extend my gratitude to Todd Scharf, Ed Schmidt, and the Technology Controls Program team from the Office of Compliance, Inspections, and Examinations for their important contributions.

CFTC Launches National Campaign To Protect Consumers From Financial Fraud - New CFTC SmartCheck Website Offers Investors Access To Quick, Effective Tools To Check Backgrounds Of Financial Professionals

Date 19/11/2014

The U.S. Commodity Futures Trading Commission (CFTC) today launched CFTC SmartCheck, a new national campaign to help investors identify and protect themselves against financial fraud. The comprehensive campaign includes a new website, a national advertising campaign and interactive videos that will help investors spot investment offers that are potentially fraudulent. The new website, SmartCheck.CFTC.gov, unveiled today, is an educational tool that helps investors conduct background checks of financial professionals.

Historic Rupee Bond Issued In London - Largest Ever Rupee Bond To Be Issued On The London Stock Exchange Is Welcomed By The Government.

Date 19/11/2014

The government has welcomed the International Finance Corporation’s (IFC) announcement that it has issued an Indian rupee 10 billion bond in London yesterday (Tuesday 18 November).