Office Of The Comptroller Of The Currency Assesses Penalty Against Wells...
The Office of the Comptroller of the Currency (OCC) today assessed a $20 million civil money penalty against Wells Fargo Bank, N.A., and ordered the bank to make restitution to servicemembers who were...
View ArticleSEC: Casino-Gaming Company Retaliated Against Whistleblowe
The Securities and Exchange Commission today announced that casino-gaming company International Game Technology (IGT) has agreed to pay a half-million dollar penalty for firing an employee with...
View ArticleSEC: Biotech Employee Charged With Insider Trading Ahead Of Company’s...
The Securities and Exchange Commission today charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading ahead of the company’s news announcements about its...
View ArticleCFTC Orders Angus Partners LLC D/B/A Angus Energy to Pay a $250,000 Civil...
The U.S. Commodity Futures Trading Commission (CFTC) entered an Order requiring Angus Partners LLC D/B/A Angus Energy, a Florida limited liability company with its principal place of business in Fort...
View ArticleRobust Optimal Investment in Discrete Time for Unbounded Utility Function....
This paper investigates the problem of maximizing expected terminal utility in a discrete-time financial market model with a finite horizon under non-dominated model uncertainty. We use a dynamic...
View ArticleCFTC Orders Aden Rusfeldt To Pay In Total More Than $3.2 Million In...
The U.S. Commodity Futures Trading Commission (CFTC) today filed an Order instituting proceedings and settling charges against Respondent Aden Rusfeldt (a/k/a “Big A”) of Vail, Arizona. The CFTC Order...
View ArticleJapan Exchange Group: Trading Overview In September 2016 & First Half Of...
Japan Exchange Group released Trading Overview in September 2016 & First Half of Fiscal Year 2016 (April to September).read more...
View ArticleMajid Al Futtaim Rings Market-Opening Bell To Celebrate Listing USD 300...
Alain Bejjani, Chief Executive Officer at Majid Al Futtaim-Holding, rang the market-opening bell today to celebrate the listing on Nasdaq Dubai of a USD 300 million tap under its existing USD 3 billion...
View ArticleThe MICEX10 Index Revised
Amendments to the MICEX10 Index following its quarterly review include the following:read more...
View ArticleESMA Consults On Consolidated Tape For Non-Equity Products
The European Securities and Markets Authority (ESMA) has issued today a consultation paper on its draft regulatory technical standards (RTS) regarding the creation of a consolidated tape for non-equity...
View ArticleLjubljana Stock Exchange Monthly Statistical Report - September 2016
Click here to download the short and comprehensive monthly statistics of the Ljubljana Stock Exchange for September 2016.
View ArticleDubai Gold and Commodities Exchange (DGCX) Volumes Surge 40%
Volumes on the Dubai Gold and Commodities Exchange (DGCX) touched close to 14.76 million contracts, growing 40% from same period last year. This year, the Exchange recorded an average volume of 75,148...
View ArticleOslo Børs: Now You Can Trade The Shipping Index
The new OBSHX shipping index makes it easy to invest in an important sector.read more...
View ArticleNew Trading Participant At SIX Swiss Exchange
With Liquid Capital Management LLP a further trading participant enjoys the advantages of the most cutting-edge trading technology.read more...
View ArticleHong Kong's Securities And Futures Commission Bans William Wong Yick Lok For...
The Securities and Futures Commission (SFC) has prohibited Mr William Wong Yick Lok, a former employee of Hang Seng Bank Limited (Hang Seng Bank), from re-entering the industry for three years from 30...
View ArticleEtsy Engineers Share Their Failures in Company-Wide Memos
Many organizations exhibit of culture of blame and shame when it comes to failures. In a case study that I co-wrote with Amy Edmondson years ago, a doctor described the "ABCs of medicine" - in the...
View ArticleIOSCO´s emerging market regulators seek to strengthen corporate governance
IOSCO/MR/24/2016read more...
View ArticleIOSCO: Emerging Market Regulators Seek To Strengthen Corporate Governance
The Growth and Emerging Markets (GEM) Committee of the International Organization of Securities Commissions (IOSCO) published today a report that seeks to strengthen corporate governance frameworks....
View ArticleBME Traded €42.8 Billion In Equities In September, Up 39% From August
Equities read more...
View ArticleCISI Responds To Banking Standards Board Report On Professionalism In Banking
We welcome the publication of the BSB sponsored report on professionalism in banking and how standards can be enhanced.read more...
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