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Thomson Reuters Annual Cost Of Compliance Survey Shows More Than Half Of Compliance Officers Expect Personal Liability To Increase In 2014 - Increased Cost Of Compliance, Ongoing Regulatory Change And Growing Importance On Reporting Place Added Demands On Compliance Teams

Date 13/03/2014

Thomson Reuters, the world’s leading source of intelligent information for businesses and professionals, today announced the findings of its annual Cost of Compliance survey which revealed that 53 percent of compliance officers now feel that their personal liability has increased; a reflection of increased focus on senior individuals at the supranational level.

SEC Charges CR Intrinsic Analyst With Insider Trading

Date 13/03/2014

The Securities and Exchange Commission today charged a former analyst at an affiliate of hedge fund advisory firm S.A.C. Capital Advisors with insider trading based on nonpublic information that he obtained about a pair of technology companies. 

Latest DTCC Report Reveals Inflows Into Annuity Products Increased 11 Percent In 2013 - Data From Annuity Market Activity Report Sets Comparisons To Prior Year And Gives New Insights Into The Market For Annuity Transactions

Date 13/03/2014

The Depository Trust & Clearing Corporation (DTCC) has released detailed findings in its latest Annuity Market Activity Report for 2013 that reflect an increase in both inflows and outflows, compared to 2012.

SEC Obtains Asset Freeze Against Promoter Behind Microcap Stock Scalping Scheme

Date 13/03/2014

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against a promoter behind a platform of affiliated microcap stock promotion websites.

Remarks On The Volcker Rule’s Market Making Exemption, John Ramsay, Acting Director, SEC Division Of Trading And Markets, New York City Bar Association, New York, NY, Feb. 4, 2014

Date 13/03/2014

Introduction

The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any private publication or statement by any of its employees.  The views expressed herein are those of the author and do not necessarily reflect the views of the Commission or of the author’s colleagues upon the staff of the Commission.

SEC Charges Lions Gate With Disclosure Failures While Preventing Hostile Takeover - Company Admits Wrongdoing To Settle SEC Charges

Date 13/03/2014

The Securities and Exchange Commission today charged motion picture company Lions Gate Entertainment Corp. with failing to fully and accurately disclose to investors a key aspect of its effort to thwart a hostile takeover bid.

From Our Man At The 39th Annual International Futures Industry Conference. Tom Groenfeldt: Where Will You Be In Five Years?

Date 13/03/2014

Gillian Tett, the assistant editor and columnist at the Financial Times had a question for the CEOs of the world’s major exchanges at the Futures industry Association conference in Boca Raton, Florida: who will be on this platform in five years? Will there be more exchanges or fewer?

SEC Announces Charges Against Brokers, Adviser, And Others Involved In Variable Annuities Scheme To Profit From Terminally Ill

Date 13/03/2014

The Securities and Exchange Commission today announced enforcement actions against a pair of brokers, an investment advisory firm, and several others involved in a variable annuities scheme to profit from the imminent deaths of terminally ill patients in nursing homes and hospice care.

Euronext And CF&B Communication Launch 2nd European ETF Event

Date 13/03/2014

Euronext, a wholly owned subsidiary of IntercontinentalExchange Group (NYSE: ICE), today joined CF&B Communication, creator and organiser of the European ETF Event, to announce their second European ETF Event, to be held in Paris at Espace Pierre Cardin on March 18.

CME Group Announces Winners Of 11th Annual Trading Challenge

Date 13/03/2014

CME Group, the world's leading and most diverse derivatives marketplace, today announced the winners of its 11^th annual CME Group Trading Challenge.  The four-week electronic trading competition provides teams of graduate and undergraduate students the chance to trade a variety of CME Group products across multiple asset classes.  The competition takes place in a simulated trading environment on a real-time professional platform provided by CQG and Dow Jones provides news feeds to inform the students of market events. This year, nearly 400 teams made up of 1,500 students participated in the challenge from 31 countries around the world - a record level of participation.