December 2018
FIA Announces Five New Staff in London and Washington
Washington, DC, FIA President and CEO Walt Lukken today announced five new staff members who have recently joined the FIA team.
Working Group on Euro Risk-free Rates: Call for Feedback
The working group on euro risk-free rates, chaired by a private sector representative and with the Secretariat provided by the European Central Bank.
Court Orders Boiler Room Fraudsters to Compensate Investors
The Court of First Instance has granted orders sought by the Securities and Futures Commission against boiler room fraudsters to compensate investors.
ASIC Acts to Freeze Funds in Land Banking Scheme
ASIC Acts to Freeze Funds, Askk is also restrained from selling or otherwise dealing in the property which is the subject of the land banking scheme.
Global Stocks on late Santa Rally
Santa arrived a bit later than expected this year. Asian equities followed Wall Street Santa rally. In Tokyo, Nikkei 225 index also rebounded impressively.
ASIC Warns Coffs Harbour Locals to Watch Out for Super Spruikers
ASIC is warning the public that super spruikers promoting illegal use of self-managed super funds (SMSFs) are operating in the Coffs Harbour area.
SEC Charges Two Robo-Advisers With False Disclosures
SEC today proceedings against two robo-advisers for making false statements about investment products and publishing misleading advertising.
CFTC Orders Commodity Trading Firm and Principal to Pay a $315,000 Civil Monetary Penalty for “Cherry-Picking” Scheme
The Commodity Futures Trading Commission Orders Commodity Trading Firm and Principal to Pay a $315,000 Civil Monetary Penalty for “Cherry-Picking” Scheme.
Martha Miller Named Advocate for Small Business Capital Formation
The Securities and Exchange Commission today announced that Martha Legg Miller has been named as the first Advocate for Small Business Capital Formation.
Markets cautious ahead of holidays and political instability in the US
Asian stocks start of a holiday week lower with thin volumes as a Wall Street slump and a partial U.S. government shutdown stemmed holiday cheer.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.