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Larry E. Thompson Elected Vice Chairman Of The Federal Home Loan Bank Of New York

Date 22/12/2017

The Federal Home Loan Bank of New York (“FHLBNY”) announced today that Larry E. Thompson has been elected by its Board of Directors (“Board”) to serve as the Board’s vice chairman for 2018. Mr. Thompson, who is the vice chairman of The Depository Trust & Clearing Corporation, has served on the Bank’s Board as an Independent Director since January 1, 2014.
Office Of Financial Research Update: “Updated Bank Data Show Rising Systemic Importance Of Asian Banks”

Date 21/12/2017

The OFR issued new blog, “Updated Bank Data Show Rising Systemic Importance of Asian Banks.” The blog, by OFR Deputy Director for Research and Analysis Stacey Schreft, says that new data on the world’s largest banks show the increasing systemic importance of Asian banks. The data also show that U.S. banks’ systemic footprint still dominates the global totals. Indeed, eight U.S. banks are still considered global systemically important banks (G-SIBs). G-SIBs must hold more capital than other banks. Among the U.S. banks in the tier below G-SIBs, the U.S. operations of a few foreign banks rank as the most systemically important, according to the blog.
Gerald Hodgkins, Associate Director Of The SEC's Enforcement Division, To Leave The Agency After 20 Years Of Service

Date 21/12/2017

The Securities and Exchange Commission today announced that Gerald W. Hodgkins, an Associate Director of the Division of Enforcement, will leave the agency at the end of this year for private practice.
The Updated Coefficients For Moscow Exchange Indices To Come Into Force

Date 21/12/2017

The following coefficients for Moscow Exchange indices come into force from December 22, 2017:
FINRA Fines Raymond James Financial Services, Inc. $2 Million For Failing To Reasonably Supervise Email Communications

Date 21/12/2017

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Raymond James Financial Services, Inc. $2 million for failing to maintain reasonably designed supervisory systems and procedures for reviewing email communications. In addition, Raymond James has agreed to conduct a risk-based retrospective review to detect potential violations evidenced in past emails.

Ontario Securities Commission Adopts Final Rule For Distributions Outside Canada

Date 21/12/2017

The Ontario Securities Commission (OSC) today adopted OSC Rule 72-503 - Distributions Outside Canada, including Form 72-503F Report of Distributions Outside Canada and Companion Policy 72-503 Distributions Outside Canada. A consequential amendment to OSC Rule 11-501 Electronic Delivery of Documents To The Ontario Securities Commission has also been adopted.
FINRA Warns Investors: Don’t Fall For Cryptocurrency-Related Stock Scams

Date 21/12/2017

The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of potential stock scams when considering the purchase of shares of companies that tout high returns associated with cryptocurrencies, such as bitcoin.
Irish Stock Exchange: Mexican Telecommunications Company, AXTEL, Lists $500m Notes On GEM

Date 21/12/2017

Mexican telecommunications company, AXTEL, lists for the first time on the Global Exchange Market (GEM) of the Irish Stock Exchange (ISE) with issuance of US$500m notes. The notes, with a 6.375% interest rate, have a maturity date of November 2024.
The Seismic Foundry Capital Markets FinTech SEIS Fund 2017-18 Makes First Investment

Date 21/12/2017

The Seismic Foundry Capital Markets FinTech SEIS Fund 2017-18 is excited to announce that their first investment is in Kite Edge, a search and content management provider which addresses the issues market participants face with the unbundling of research in the MiFID II environment.
SEC Charges Operators Of $1.2 Billion Ponzi Scheme Targeting Main Street Investors

Date 21/12/2017

The Securities and Exchange Commission today announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly bilked thousands of retail investors, many of them seniors, in a $1.2 billion Ponzi scheme.