BM&FBOVESPA Launches The Second Edition Of The Novo Valor Sustainability...
BM&FBOVESPA has launched the second edition of the “Novo Valor – Corporate Sustainability: How to begin, who to involve and what to prioritize” Sustainability Guide, in line with international...
View ArticleThomas Sullivan, Associate Director, Federal Reserve Division Of Banking...
Introduction Chairman Luetkemeyer, Vice Chairman Westmoreland, Ranking Member Cleaver, and other members of the subcommittee, thank you for inviting me to testify on behalf of the Federal Reserve.read...
View ArticleStatement Of SEC Commissioner Piwowar At Open Meeting Regarding Adoption Of...
Thank you, Chair White. I want to start by thanking staff for their hard work on these releases that would establish new requirements for risk management, operations, and governance of certain...
View ArticleOffice Of The Comptroller Of The Currency: Comptroller Discusses How Best To...
Comptroller of the Currency Thomas J. Curry today discussed re-evaluation of risks associated with foreign correspondent banking. His remarks came during an appearance at the 15th Annual Anti-Money...
View ArticleStatement On Adoption Of Rule On Standards For Covered Clearing Agencies And...
I would like to thank the staff for their hard work in bringing these recommendations to the Commission, including Jeffrey Mooney, Stephanie Park, Matthew Lee, Elizabeth Fitzgerald, DeCarlo McLaren,...
View ArticleCFTC Orders SG Americas Securities, LLC to Pay a $750,000 Civil Monetary...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against SG Americas Securities, LLC, as successor to Newedge USA, LLC, a financial...
View ArticleCFTC Charges Options Trader Thomas C. Lindstrom with Fraud
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint, charging Thomas C. Lindstrom, of Winnetka, Illinois, with fraud in connection with his trading of options on...
View ArticleCadillac Fairview And TMX Group Announce Lease Agreement In Montréal -...
Cadillac Fairview and TMX Group are proud to announce today the signing of a long-term lease agreement to relocate the Montréal Exchange (MX) to Deloitte Tower in 2018. MX and the Montréal offices of...
View ArticleCanadian Securities Regulators Provide Update On Consideration Of Concerns...
The Canadian Securities Administrators (CSA) today published CSA Staff Notice 45-308 (Revised) – Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106...
View ArticleSEC: Och-Ziff Hedge Fund Settles FCPA Charges - Och-Ziff Executives Also...
The Securities and Exchange Commission today announced that Och-Ziff Capital Management Group has agreed to pay nearly $200 million to the SEC to settle civil charges of violating the Foreign Corrupt...
View ArticleSwedroe: ‘Incredible Shrinking Alpha’ Continues | ETF.com
Swedroe: âIncredible Shrinking Alphaâ Continues | ETF.com: "Highlighting the problem of survivorship bias, over the five-year period, nearly 21% of domestic equity funds, 21% of...
View ArticleCanadian Securities Regulators Issue Guidance On Derivatives Reporting...
Staff of the securities regulators in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon...
View ArticleSEC Announces Agenda For October 5 Meeting Of The Advisory Committee On Small...
Use the SEC’s Internet submission form or send an e-mail to rule-comments@sec.gov.read more...
View ArticleAMF Officials To Head Major IOSCO Committee
The Autorité des marchés financiers (the “AMF”) is pleased to announce that Jean-François Fortin, Executive Director, Enforcement, and Jean Lorrain, Senior Director, International Relations and...
View ArticleCFTC Orders Jon P. Ruggles To Disgorge More Than $3.5 Million In Trading...
The U.S. Commodity Futures Trading Commission (CFTC) today entered an Order filing and settling charges against Jon P. Ruggles of Orlando, Florida, for engaging in fraudulent, fictitious, and...
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Federal Reserve Chair Janet L. Yellen At The "Banking And The Economy: A...
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View ArticleCFTC Charges Options Trader Thomas C. Lindstrom With Fraud - CFTC Alleges...
The U.S. Commodity Futures Trading Commission (CFTC) filed a civil enforcement Complaint, charging Thomas C. Lindstrom, of Winnetka, Illinois, with fraud in connection with his trading of options on...
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 âBig Aâ) of Vail, Arizona.
View ArticleUS Justice Department: Och-Ziff Capital Management Admits To Role In Africa...
A New York-based alternative investment and hedge fund manager, Och-Ziff Capital Management Group LLC (Och-Ziff), and its wholly-owned subsidiary, OZ Africa Management GP LLC (OZ Africa), entered into...
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