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Federal Court In North Carolina Orders Tracy Lee Thomas And His Company, Marbury Advisors Inc., To Pay More Than $4.4 Million For Fraudulently Soliciting Customers

Date 28/06/2017

The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge Loretta C. Biggs of the U.S. District Court for the Middle District of North Carolina entered an Order of Final Judgment by Default (Order) against Defendants Tracy Lee Thomas (a/k/a Treyton L. Thomas, a/k/a Trayton L. Thomas, a/k/a Trey Thomas, a/k/a Tray Thomas, a/k/a T.L. Thomas), formerly of Naples, Florida, and Marbury Advisors Inc. (Marbury), a Cayman Islands corporation. The Court’s Order finds that the Defendants had fraudulently solicited over $ 1.1 million from customers, lost those funds trading, and provided customers with false reports or statements indicating their investments were profitable.
Federal Reserve Releases Results Of Comprehensive Capital Analysis And Review (CCAR)

Date 28/06/2017

The Federal Reserve Board on Wednesday announced it has completed its review of the capital planning practices of the nation's largest banks and did not object to the capital plans of all 34 bank holding companies participating in the Comprehensive Capital Analysis and Review (CCAR). However, the Board is requiring one firm to address weaknesses in its capital planning process and resubmit its capital plan by the end of 2017.
CFTC Swaps Report Update

Date 28/06/2017

CFTC's Weekly Swaps Report has been updated, and is now available.
Joint ISDA And GFMA Publication Highlights The Pressing Need For Market Participants To Obtain A Legal Entity Identifier (LEI) For Existing And Forthcoming Regulatory Mandates

Date 28/06/2017

A wide universe of market participants will shortly be required to have an LEI under forthcoming European regulation; this will apply to non-EU entities in many cases. Other regulators, including those in the US and Asia-Pacific, already require market participants to obtain LEIs. Firms large and small need to act now to ensure they comply
Nasdaq’s Directors Desk® And Boardvantage® To Introduce Board Assessments And Compliance Questionnaires - A Unique Collaboration Between Nasdaq Corporate Solutions And The Center For Board Excellence

Date 28/06/2017

Nasdaq Corporate Solutions, a business of Nasdaq, Inc. (Nasdaq:NDAQ), announced today a new partnership with The Center for Board Excellence (CBE), a provider of board assessments and compliance questionnaires. In the first phase of the partnership, Nasdaq Corporate Solutions will facilitate introductions for users of Directors Desk and Boardvantage – Nasdaq’s board portal and meeting management solutions – to CBE’s cloud-based corporate governance solutions including: board and committee assessments; director peer assessments; CEO and management evaluations; and directors’ & officers’ questionnaires. Later this year, the parties plan to offer an integrated workflow between Nasdaq’s board portal solutions and CBE’s EnGauge™ platform, making it even easier for users to elect to benefit from these CBE offerings.

London Stock Exchange Group Plc Transaction In Own Shares

Date 28/06/2017

London Stock Exchange Group plc (the "Company") announces that it has purchased through Barclays Capital Securities Limited, in accordance with the authority granted by shareholders at the Company's Annual General Meeting on 26 April 2017, the following number of its ordinary shares of 6 79/86 pence each ("Shares") on the London Stock Exchange as part of the buyback programme announced on 29 March 2017:
EBRD And Zagreb Stock Exchange Present SME Project For Croatia And Slovenia

Date 28/06/2017

The EBRD and the Zagreb Stock Exchange (ZSE) presented their plans for a trading platform for small businesses from Croatia and Slovenia in Zagreb today. The platform, supported by the TaiwanBusiness-EBRD Technical Cooperation Fund, will be launched early next year under the name “Progress” with the aim of facilitating local small and medium-sized enterprises’ (SMEs’) access to the capital market.
EBA Publishes Report On Consumer Data And Identifies A Number Of Applicable Requirements Under EU Law

Date 28/06/2017

The European Banking Authority (EBA) published today a Report presenting the conclusions of its assessment on the topic of innovative uses of consumer data by financial institutions. The Report looks at both the risks and potential benefits of this innovation and identifies a number of requirements under EU law applying to financial institutions, which mitigate many of the risks identified by the EBA. The Report concludes that no additional, industry-specific legislative or regulatory requirements are needed at present, but the EBA will continue to monitor closely this innovation. The Report encourages cooperation between supervisory authorities across all relevant policy areas and contributes to fostering a consistent supervisory approach to innovation in the financial sector.
WSBA’s Blockchain For Wall Street Education Day To Highlight The Reality Of Distributed Ledgers - New Reality Challenge Session Moves Beyond Blockchain PoCs To Showcase The Best Production Pilots

Date 28/06/2017

The 2nd Annual Blockchain for Wall Street education day will take place on Tuesday, November 14th at the New York Law School with a focus on “Distributed Ledger Directions and Realities for the Financial Markets.” A new component of this year’s event will be the recognition of real blockchain production pilot projects through presentations from finalists competing in the Blockchain Reality in Financial Markets Challenge, which officially opens on July 1st.
Options Clearing Corporation: Amy McCormick Appointed First Vice President Of Financial Risk Management

Date 28/06/2017

OCC, the world's largest equity derivatives clearing organization, today announced the appointment of Amy McCormick, formerly with the National Futures Association, as First Vice President, Financial Risk Management, a new position for the organization. McCormick starts in her new role today, and will report to Dale Michaels, Executive Vice President, Financial Risk Management.