August 2019
SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors
The Securities and Exchange Commission today charged 1 Global Capital LLC’s former chief financial officer, Alan G. Heide, with defrauding retail investors.
Kraft and Mondelēz Global to Pay $16 Million in Wheat Manipulation Case
CFTC announced that a $16 million penalty and injunction pursuant to a federal court’s entry of a consent order against defendants Kraft and Mondelēz.
SEC Releases Educational Videos for Investors
SEC released educational videos designed to provide ordinary investors with basic information about choosing and working with a financial professional.
SEC Wins Jury Trial Against Broker Charged with Insider Trading
SEC wins jury trial against broker charged with insider trading.
FCA Agrees Plan for a Phased Implementation of Strong Customer Authentication
FCA has today agreed a plan that gives the payments and e-commerce industry extra time to implement Strong Customer Authentication (SCA).
Asian Indices Mixed on US-China Trade Tensions, EURUSD Breaks Below 1.11
Asian stocks finished mixed today as US-China trade tensions show no sign of relief. The Hang Seng ended 0.73 percent higher at 25,681.
APRA applies additional $250m capital requirement to Allianz Australia
APRA will apply an additional $250 million capital requirement to Allianz to reflect the issues identified in the insurer’s risk governance self-assessment.
Keynote address at Risk Australia Conference
The FSRC in risk Australia conference the substantial harms that misconduct in the financial sector has inflicted on everyday Australians.
Redefining conduct in FX Markets
And as a market and conduct regulator, ASIC has been very active in our surveillance and enforcement of conduct in the FX markets.
CME Head Weighs in on SWAP Regulation Standoff
CME Head Weighs in on SWAP Regulation Standoff, The head of the CME Group weighed in on the intercontinental standoff over swaps regulation.
Hang Seng Lower, Gold at Fresh 6 Year Highs
Asian stocks finished lower today as protests in Hong Kong shut down the airport, and the Hang Seng trades 1.69 percent lower at 25,381.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.