ASIC Permanently Bans Former Deutsche Bank FX Trader
ASIC has permanently banned former Deutsche Bank FX options and futures trader, Andrew Donaldson, of Sydney, from providing financial services.read more...
View Articleenepath Launches New Eclipse Voice Trading Product Suite - A Turret Solution...
enepath, the TraderVoice and communications specialist, is pleased to announce the launch of its EclipseTM product suite. Utilising the latest technology to deliver new voice services that the trading...
View ArticleCalastone Strengthens China-Hong Kong Market Link By Enabling Direct...
Calastone, the global fund transaction network, today announced the establishment of direct connectivity with Shenzhen Securities Communications Co. (SSCC) a fully-owned subsidiary of the Shenzhen...
View ArticleCFTC Orders Jon P. Ruggles To Disgorge More Than $3.5 Million In Trading...
The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order filing and settling charges against Jon P. Ruggles of Orlando, Florida, for engaging in fraudulent, fictitious, and...
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Federal Reserve Chair Janet L. Yellen At The "Banking And The Economy: A...
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View ArticleCFTC Charges Options Trader Thomas C. Lindstrom With Fraud - CFTC Alleges...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint, charging Thomas C. Lindstrom, of Winnetka, Illinois, with fraud in connection with his trading of options on...
View ArticleCFTC Orders Aden Rusfeldt to Pay in Total More than $3.2 Million in...
The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Respondent Aden Rusfeldt (a/k/a âBig Aâ) of Vail, Arizona.
View ArticleUS Justice Department: Och-Ziff Capital Management Admits To Role In Africa...
A New York-based alternative investment and hedge fund manager, Och-Ziff Capital Management Group LLC (Och-Ziff), and its wholly-owned subsidiary, OZ Africa Management GP LLC (OZ Africa), entered into...
View ArticleOffice Of The Comptroller Of The Currency Assesses Penalty Against Wells...
The Office of the Comptroller of the Currency (OCC) today assessed a $20 million civil money penalty against Wells Fargo Bank, N.A., and ordered the bank to make restitution to servicemembers who were...
View ArticleSEC: Casino-Gaming Company Retaliated Against Whistleblowe
The Securities and Exchange Commission today announced that casino-gaming company International Game Technology (IGT) has agreed to pay a half-million dollar penalty for firing an employee with...
View ArticleSEC: Biotech Employee Charged With Insider Trading Ahead Of Company’s...
The Securities and Exchange Commission today charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading ahead of the company’s news announcements about its...
View ArticleCFTC Orders Angus Partners LLC D/B/A Angus Energy to Pay a $250,000 Civil...
The U.S. Commodity Futures Trading Commission (CFTC) entered an Order requiring Angus Partners LLC D/B/A Angus Energy, a Florida limited liability company with its principal place of business in Fort...
View ArticleRobust Optimal Investment in Discrete Time for Unbounded Utility Function....
This paper investigates the problem of maximizing expected terminal utility in a discrete-time financial market model with a finite horizon under non-dominated model uncertainty. We use a dynamic...
View ArticleCFTC Orders Aden Rusfeldt To Pay In Total More Than $3.2 Million In...
The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Respondent Aden Rusfeldt (a/k/a “Big A”) of Vail, Arizona. The CFTC Order...
View ArticleCFTC Orders Angus Partners LLC D/B/A Angus Energy To Pay A $250,000 Civil...
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it entered an Order requiring Angus Partners LLC D/B/A Angus Energy (Angus), a Florida limited liability company with its...
View ArticleAppointment Of NZX Head Of Market Operations
NZX is pleased to announce the appointment of Benjamin Phillips as Head of Market Operations. Benjamin has held the Head of Clearing role at NZX since joining in September 2014.read more...
View ArticleUnited Kingdom Parliament Treasury Committee Update: Tyrie Writes To FCA And...
The Treasury Committee publishes correspondence between Rt Hon. Andrew Tyrie MP, Chairman of the Treasury Committee, the CEOs of RBS and HSBC, and the FCA and PRA, in relation to bank IT system...
View ArticleStand Out: A real world guide to get clear, find purpose and become the boss...
Stand Out shows you how to stop working so much, and start achieving instead. Everyone is busy, but working harder to do more isn't getting us anywhere. We're overwhelmed, distracted and detached, and...
View Article30Sep/Leverage and risk weighted capital requirements
The global financial crisis has highlighted the limitations of risk-sensitive bank capital ratios. To tackle this problem, the Basel III regulatory framework has introduced a minimum leverage ratio,...
View ArticleNasdaq Stockholm Announces Dome Energy Fine Corresponding To Seven Annual Fees
The Disciplinary Committee of Nasdaq Stockholm has found that Dome Energy AB (“Dome”) has breached the Nasdaq Stockholm rulebook (“the Rulebook”) and, accordingly, has imposed a fine on Dome amounting...
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