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The SEC’s Whistleblower Program: The Successful Early Years, Andrew Ceresney, Director, Division Of Enforcement, Sixteenth Annual Taxpayers Against Fraud Conference, Washington, D.C., Sept. 14, 2016

Date 14/09/2016

Introduction

Good morning and thank you Molly [Knobler] for that very kind introduction. It’s a pleasure to speak with you all today. Before I start, I must give our standard disclaimer that the views I express today are my own and do not necessarily reflect the views of the Commission or its staff.
Packaged Retail Investment Products: European Parliament Returns Draft Law To Commission

Date 14/09/2016

Draft legislation designed to protect retail investors was rejected by MEPs on Wednesday as so “flawed and misleading” that it could actually lose them money. Unusually, it will be returned to the EU Commission for revision.
European Commission Sets Up Task Force Led By Michel Barnier As Chief Negotiator For The Preparation And Conduct Of The Negotiations With The United Kingdom

Date 14/09/2016

Today, the Commission decided to set up a Task Force for the preparation and conduct of the negotiations with the United Kingdom under Article 50 of the TEU ("Article 50 Task Force").
European Commission - Fact Sheet - State Of The Union 2016: Questions And Answers On The Communication On Capital Markets Union - Accelerating Reform

Date 14/09/2016

What is the Capital Markets Union?

The Commission's top priority is to strengthen Europe's economy and stimulate investment to create jobs. The EUR 315 billion Investment Plan for Europe helped to kick-start that process. To strengthen investment for the long term, we need stronger capital markets. These would provide new sources of funding for business, help increase options for savers and make the economy more resilient. That is why President Juncker set out as one of his key priorities, the need to build a true single market for capital – a Capital Markets Union for all Member States.
ISDA Appoints EBRD Treasurer To Board Of Directors

Date 14/09/2016

The International Swaps and Derivatives Association, Inc. (ISDA) has announced the appointment of Axel van Nederveen, Treasurer of the European Bank for Reconstruction and Development (EBRD), to its Board of Directors.

FINRA Fines Ameriprise Financial Services, Inc. $850,000 For Failing To Supervise The Transmittal Of Funds From Customer Brokerage Accounts - Office Manager Took $370,000 From Own Family’s Brokerage Accounts

Date 14/09/2016

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Ameriprise Financial Services, Inc. $850,000 for failing to detect the conversion of more than $370,000 from five customer brokerage accounts by one of its registered representatives. Ameriprise failed to adequately investigate red flags associated with nine third-party wire requests, including that the funds were being transmitted to a business bank account associated with an Ameriprise representative. The conversion went undetected for two years because Ameriprise failed to establish and enforce a supervisory system reasonably designed to adequately monitor the transmittal of funds from customer accounts to third parties, including those controlled by registered representatives of the firm. After Ameriprise discovered the misconduct, it paid restitution, plus interest and related fees, to the customers. FINRA barred the representative in June 2014.
European Commission: Completing The Capital Markets Union – Commission Accelerates Reform

Date 14/09/2016

"Imagine a Finnish start-up that cannot get a bank loan. Right now, the options are limited. The Capital Markets Union will offer alternative, vital sources of funding to help start-ups get started – business angels, venture capital, market financing." – President Juncker, State of the Union 2016
London Stock Exchange Group Board Appointment

Date 14/09/2016

London Stock Exchange Group plc (LSEG) today announces that Andrea Munari will step down from the Board of London Stock Exchange Group plc ( “the Board”) and that Andrea Sironi will join the LSEG plc Board as a Non-Executive Director, on 1 October 2016

First Analysis In Tel Aviv Stock Exchange's Analysis Project – Edison, The International Equity Research Firm, Publishes Nano Dimension's Analysis - Analyses Of 10 More Companies Expected To Be Published In Upcoming Weeks

Date 14/09/2016

Nano Dimension is developing a system for 3D printing to print electronic circuitry and nanotechnology-based conductive and dielectric ink. It is a component of the TA BlueTech Index, the TA-Technology Index, and the TA-MidCap Index, and its market value is ILS 212 million. The company is traded on TASE and NASDAQ.

Hong Kong's Securities And Futures Commission Reprimands And Fines HSBC $2.5 Million For Regulatory Breaches

Date 14/09/2016

The Securities and Futures Commission (SFC) has reprimanded and fined The Hongkong and Shanghai Banking Corporation Limited (HSBC) $2.5 million for regulatory breaches and internal control failings related to position limit failures.

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Introduction