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From The Data Rush To The Data Wars: A Data Revolution In Financial Markets, SEC Commissioner Kara M. Stein, Atlanta, GA, Sept. 27, 2018, Georgia State University College Of Law – Henry J. Miller Distinguished Lecture Series

Date 28/09/2018

Thank you Dean [Wendy] Hensel for that kind introduction. It is an honor to be chosen to give the 62nd Henry J. Miller Distinguished Lecture at Georgia State University College of Law. It is a testament to Henry Miller himself that his legacy continues to advance a public dialogue on so many important topics and I’m pleased to be part of that discussion. I would also like to thank a few of my colleagues for being here tonight—Bill [Dixon], Aaron [Lipson], and Richard [Best], who work in the Securities and Exchange Commission’s Atlanta Regional Office.
CFTC Announces Agenda For FinTech Forward 2018 Conference

Date 28/09/2018

The Commodity Futures Trading Commission (CFTC) announced today the agenda for FinTech Forward 2018: Innovation, Regulation and Education, the two-day conference on October 3 and 4 in Washington, D.C.
SEC Charges Salix Pharmaceuticals And Former CFO With Lying About Distribution Channel

Date 28/09/2018

The Securities and Exchange Commission today charged Salix Pharmaceuticals Ltd. and its former CFO with repeatedly misleading analysts and investors about the company’s future prospects. The former CFO, Adam Derbyshire, will pay more than $1 million to settle the charges.
ETFGI Reports That Assets Invested In ETFs And ETPs Listed In Europe Gathered Net Inflows Of US$2.96 Billion During August

Date 28/09/2018

ETFGI, a leading independent research and consultancy firm on trends in the global ETF/ETP ecosystem, reported today that that assets invested in ETFs and ETPs listed in the Europe gathered net inflows of US$2.96 billion during August 2018. Total assets increased to US$835 billion at the end of August 2018, up 0.91% from US$828 billion at the end of July, according to ETFGI’s August 2018 Europe ETF and ETP industry landscape insights report, an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
SEC Charges Stryker A Second Time For FCPA Violations

Date 28/09/2018

The Securities and Exchange Commission today charged Stryker Corp. with violating the books and records and internal accounting controls provisions of the Foreign Corrupt Practices Act (FCPA), the second time the SEC has brought an FCPA action against the Michigan-based medical device company.

NSE Indices Index Dashboard For The Month Ended September 2018

Date 28/09/2018

Click here to download the ' Index Dashboard' for the month ended September 2018.
SEC Charges LendingClub Asset Management And Former Executives With Misleading Investors And Breaching Fiduciary Duty

Date 28/09/2018

The Securities and Exchange Commission today charged San Francisco-based LendingClub Asset Management LLC (formerly known as LendingClub Advisors LLC) and its former president Renaud Laplanche with fraud for improperly using fund money to benefit LendingClub Corporation, LCA’s parent company that Laplanche founded and for which he served as CEO. LCA and Laplanche along with Carrie Dolan, LCA’s former CFO, also were charged with improperly adjusting fund returns.
Testimony On “Oversight Of The SEC’s Division Of Investment Management”, Dalia Blass, Director, Division Of Investment Management, Washington D.C. Sept. 26, 2018, Before The United States House Of Representatives Committee On Financial Services, Subcommittee On Capital Markets, Securities, And Investment

Date 28/09/2018

Chairman Huizenga, Ranking Member Maloney, and Members of the Subcommittee, thank you for inviting me to testify before you today about the work of the Division of Investment Management (the "Division"). I would also like to thank you for your interest in asset management and the efforts of our Division in this spac
Moscow Exchange: USD Penalty Rate

Date 28/09/2018

Due to CCP NCC decision USD penalty rate is set equal to 4.5% from October, 01, 2018.
SEC Charges Walgreens And Two Former Executives With Misleading Investors About Forecasted Earnings Goal

Date 28/09/2018

The Securities and Exchange Commission today charged Walgreens Boots Alliance Inc., former CEO Gregory Wasson, and former CFO Wade Miquelon with misleading investors about increased risk that the company would miss a key financial goal announced when Walgreen Co. entered into a merger with Alliance Boots GmbH in 2012.