SEC Charges Family Friend of Former Investment Banker With Insider Trading
SEC today charged an IT professional in Texas who allegedly participated in an insider trading scheme perpetrated by a former Wall Street investment banker.
November 2018
Launch of the Future Forum 2018: Let’s Decide the Future of Money
Launch of the Future Forum 2018: Let’s Decide the Future of Money. Governor of the Bank of England announced the details of the Bank’s annual Future Forum.
CME Group Averaged 20.6 Million Contracts Per Day in October 2018, Up 38% from October 2017
CHICAGO, Nov. 2, 2018, /PRNewswire/. CME Group Averaged 20.6 Million Contracts Per Day in October 2018, Up 38% from October 2017.
Giancarlo Uses October to Reiterate Global SWAPS Regulation Deference
Christopher Giancarlo, Chair of the CFTC Commission, again made it clear that part of the new global swaps regulation framework includes, deference.
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced SEC Updates List of Firms Using Inaccurate Information to Solicit Investors.
Intercontinental Exchange Chief Financial Officer Scott Hill to Present at J.P. Morgan Ultimate Services Investor Conference on November 12, 2018
Intercontinental Exchange Chief Financial Officer Scott Hill to Present at J.P.
FINRA Fines LPL $2.75 Million for Complaint-Reporting and AML Program Failures
FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures.
October 2018
Class Action Securities Lawsuits A Racket
The securities class action system is spinning out of control.
FIA Joins Industry Associations on Cyber Risk Programs
Help guide financial institutions in developing and maintaining cyber risk management programs and is the result of two years’ work.
Outlook for the U.S. Economy and Monetary Policy
I have been a student of U.S. monetary policy for more than 30 years. So, for me, personally, it is a distinct honor and real privilege.
National Settlement Depository Presents Its Vision of the Future of Crypto Assets at Sibos
NSD Russia’s central securities depository, organized a special panel discussion focused on the infrastructure of the crypto assets market at Sibos.
Carolyn Wilkins: Release of the Monetary Policy Report
Carolyn Wilkins: Release of the Monetary Policy Report. Opening statement by Ms Carolyn A Wilkins, Senior Deputy Governor of the Bank of Canada.
Becoming a Certified Derivatives Trader Via e-Learning
The Capital Markets Academy of Deutsche Börse now is also offering preparation for the examination to become a certified derivatives trader.
BSE Commences Trading in Futures Contracts on Oman Crude Oil in Commodity Derivatives
BSE, Asia’s oldest exchange today commenced trading in futures contracts on Oman Crude Oil in its newly launched commodity derivatives segment.
Basel Committee Calls for Further Progress in the Implementation of Basel III Standards
Today the Basel Committee on Banking Supervision issued the Fifteenth progress report on adoption of the Basel regulatory framework.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.