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  • CFTC Charges Michigan Resident Jerry Stauffer With Commodity Pool Fraud And Other Violations - Federal Court Issues Emergency Order Freezing Stauffer’s Assets And Protecting Books And Records

    Date 03/03/2015

    The U.S. Commodity Futures Trading Commission (CFTC) today announced that Chief Judge Paul L. Maloney, of the U.S. District Court for the Western District of Michigan issued an emergency Order freezing and preserving the remaining pool participant assets under the control of Defendant Jerry Stauffer of Traverse City, Michigan. The Order, entered under seal on February 25, 2015, also prohibits Stauffer from destroying books and records and grants the CFTC immediate access to those records.

  • Statement On The Aggregate Impact Of Financial Services Regulations, SEC Commissioner Daniel M. Gallagher

    Date 03/03/2015

    During a fireside chat at today’s Institute of International Bankers’ 26th Annual Washington Conference, I expressed my concern about the number and aggregate impact of regulations that have been imposed on U.S. financial services firms since the enactment of the Dodd-Frank Act in 2010. These regulations come from an alphabet soup of domestic regulators, including the SEC, and many are related to the edicts of non-accountable international bodies such as the Financial Stability Board. Unfortunately, in promulgating many of these myriad regulations, a robust cost-benefit analysis was not required—and therefore none was performed. Even where a cost-benefit analysis was performed (an exercise for the most part limited to rules adopted by the SEC or CFTC, either independently or jointly with other regulators, given their statutory mandate for cost-benefit analysis), such analysis encompassed only the incremental effects of the rule being considered for adoption. No regulator, as far as I know, has considered the overall regulatory burden on financial services firms when determining whether to impose additional costly regulations. We as regulators are, when it comes to the possibility that our rules are causing death by a thousand cuts, the proverbial ostrich—head firmly entrenched in the sand.

  • The New York Stock Exchange Announces Garvis Toler III As Global Head Of Capital Markets

    Date 03/03/2015

    The New York Stock Exchange, part of the Intercontinental Exchange (NYSE: ICE) global network of exchanges and clearing houses, today announced Garvis Toler III will become Global Head of Capital Markets focused on listings transactions. Toler will join the company on March 23, 2015. John Merrell, who has held leadership positions on the NYSE Listings team since 2008, will be responsible for listed company relationships. Both roles will report to NYSE Group President Tom Farley.

  • UK Financial Conduct Authority Statement On Non-Executive Director, David Harker

    Date 03/03/2015

    It is with deep sadness that the Financial Conduct Authority (FCA) has learned that non-executive director, David Harker, passed away yesterday.

    John Griffith-Jones, chairman of the FCA, said:

    "David served on the FCA Board since its inception on 1 April 2013 and I am extremely grateful for the vital contribution he made to the organisation, especially during those important early days.  He was a remarkable man and his colleagues on the board will miss him greatly. Our thoughts are with his wife and family at this time."

  • What Is Left To Do On The Post-Crisis Bank Capital Framework? Speech Given By David Rule, Executive Director, Prudential Policy At The Institute Of International Bankers Annual Conference, Washington, 2 March 2015

    Date 03/03/2015

    Six and half years after the depths of the Great Financial Crisis, we know the shape of the future global bank capital framework. But important questions do remain. Today I want to focus on how regulators should measure risk in order to set capital requirements, with some final remarks on the particular case of securitisation.

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