Investors were deprived of fundamental protections, panel finds
Disenhouse sold $730,000 in securities not approved by his firm
Mueller and Jinnah ordered to pay US$75,000 and US$50,000, respectively
Industry stakeholders saw no benefit in proposed change to ITM rules
Sanctions from Calgary rep’s firm total nearly $140,000
Charges for supervisory failures settled by CFTC
Settlement includes $4 million investment in financial education campaign
Investment scheme raised $9.6 million from 943 investors
Comments for the development of a common platform for Eurosystem collateral management will also be welcomed
TARGET2-Securities system proposes central securities depositiries use a common technical service