Corporate and Financial Weekly Digest - September 21, 2012


In this issue:

- NFA Notifies Members of Chief Compliance Officer Requirements for Certain FCMs

- NFA to Publicly Display FCM Financial Data Online

- CME Issues Guidance on Manual/Automated Trading Indicator

- District Court Considers Whether Officer May Be Individually Liable for Company’s Debt

- District Court Dismisses Shareholder Class Action Suit for Securities Fraud

- OCC Issues Rule on Investments in Corporate Debt Securities, Applicable to Federal Savings Associations

- HM Treasury Consults on FPC’s Macro-Prudential Tools

- ESMA Consults on Guidelines on Remuneration Policies and Practices

- ESMA Consults on Guidance on Short Selling Regulation Exemptions

An excerpt from "HM Treasury Consults on FPC’s Macro-Prudential Tools"

On September 18, HM Treasury published a consultation paper on the powers to be made available to the Financial Policy Committee (FPC) to perform its macro-prudential regulatory role within the Bank of England under the regulatory regime being introduced under the Financial Services Bill currently before Parliament. The FPC will monitor the financial system and identify and address systemic risks. The FPC will have macro-prudential powers designed to allow the FPC to mitigate risks to financial stability. It will have powers of recommendation and powers of direction to help achieve its objectives.

Please see full newsletter below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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