CFTC

CFTC Orders Merrill Lynch Commodities, Inc. to Pay…

Washington, DC – The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Merrill Lynch Commodities, Inc. (MLCI), a provisionally registered swap dealer, for spoofing, manipulation, and attempted manipulation over a six-year…

US Securities and Exchange Commission - VALIC

SEC Names Vanessa Countryman to Lead the Office…

Washington D.C., June 24, 2019 —  The Securities and Exchange Commission today announced that Vanessa Countryman has been appointed as the agency’s Secretary. The Secretary is responsible for overseeing the administrative aspects of Commission meetings,…

US Securities and Exchange Commission - VALIC

Wedbush to Pay More Than $8.1 Million for…

Washington D.C., June 18, 2019 — The Securities and Exchange Commission today announced that Wedbush Securities Inc. will pay more than $8.1 million to settle charges for improper handling of "pre-released" American Depositary Receipts (ADRs).…

US Securities and Exchange Commission - VALIC

SEC Adopts Amendments to Improve the Application of…

Washington D.C., June 18, 2019 — The Securities and Exchange Commission adopted amendments to the auditor independence rules relating to the analysis that must be conducted to determine whether an auditor is independent when the…

efd

President Ueli Maurer meets Japan’s Prime Minister Shinzō…

Bern, 10.06.2019 - President Ueli Maurer was received by Japan's Prime Minister Shinzō Abe on 10 June 2019. The discussion was dedicated to the long-standing, excellent relations between Switzerland and Japan. In addition to regional topics, the central…

FMA Featured

Kiwis Take Longer to Choose a Movie Than…

Many New Zealanders spend longer choosing a movie to watch than reading and acting on their annual KiwiSaver statement. A recent survey of 1100 New Zealanders for the Financial Markets Authority (FMA) found four out…