Goldman Sachs Boss Praises Dodd/Frank
Dodd-Frank has made the system safer and we’ve made important progress in adopting to that regulatory environment.” Solomon said.
April 2019
Mining Company CEO Penalized for False or Misleading Statements
A panel of BCSC has imposed a $150,000 penalty on the president and chief executive officer of Mountainstar Gold Inc. for misleading statements.
SEC Charges Former SeaWorld Associate General Counsel With Insider Trading
The Securities and Exchange Commission today charged a former senior lawyer at SeaWorld Entertainment Inc.
Some AFS Licensees May be Breaking Overseas Laws
Australian financial service (AFS) licensees may be breaking overseas laws providing unlicensed or unauthorised services in those jurisdictions.
ASIC Disqualifies Former Uglii Group Directors
ASIC Disqualifies Former Uglii Group Directors, The disqualification follows an ASIC investigation into the affairs of six companies.
ASIC Releases Final Report on CBA’s Compliance With Financial Advice Licence Conditions
ASIC today released KordaMentha Forensic’s final report on CBA’s advice compensation program under its additional licence conditions.
Queensland Auditor’s Registration Cancelled
The Companies Auditors Disciplinary Board (CADB) has decided to cancel the registration of Queensland based registered auditor Mr Reginald Lance Williams.
MiFID II – A year in review – Colm Kincaid, Director of Securities and Markets Supervision
Implementation of MiFID II and its progress in first year and an insight into some of the Central Bank of Ireland’s related supervisory priorities for 2019.
Progress on Benchmark Reform
Financial regulators around the world expect institutions using LIBOR to be ready to transition to more robust benchmarks reforms .
Gold Down $14, Breaks below $1300, EURUSD pops at 1.1285
Gold got a hit on the chin yesterday losing 20 dollars from two weeks high at 1307 down to $1287 just to rebound in late Asian session at $1292.
MAS Bans Three Individuals for Fraudulent and Dishonest Conduct
MAS issued prohibition orders (POs) against two former bank employees and a former insurance agent for fraudulent and dishonest conduct.
Community Banking in the Age of Innovation
Community Banking are learning to adapt to a new world of rapid innovation and shifting consumer expectations and Concerns about compliance.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.