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New York Attorney General Letitia James Announces Final Rules To Modernize And Streamline Securities Filings In NYS - Adopted Rules Will Move Filers To National Electronic Systems, Create Greater Protections For Investors

Date 01/12/2020

New York Attorney General Letitia James today announced the adoption of final rules that will modernize registration and filing with the Investor Protection Bureau (IPB) in the Office of the Attorney General (OAG). This adoption is the latest step in Attorney General James’ ongoing efforts to streamline and enhance the oversight of the securities industry in New York by moving filings and payments to standardized federal and multi-state systems. Once these changes are fully implemented in 2021, New York’s registration procedures will better conform to the federal securities registration regime, cure industry confusion when it comes to certain registration requirements, and better track exam requirement compliance and disciplinary disclosures for thousands of investment advisers who provide investment advice to New Yorkers. Earlier this year, while these new rules were being completed, Attorney General James announced procedural changes to respond to growing impediments stemming from the coronavirus disease 2019 (COVID-19) public health crisis. An update to those changes, that reflect the new rules and recent executive orders, can be found on the OAG website.
Ontario Securities Commission Proposes Elimination Of Routine Exemptive Relief Applications For International Firms

Date 01/12/2020

The Ontario Securities Commission (OSC) today published a proposal that would reduce the regulatory burden for international dealers and advisers that provide trading or advisory services to institutional investors in Ontario. The proposal would eliminate the need for these firms to file routine applications for exemptive relief and would enhance institutional investor access to international options and futures markets, thereby reducing regulatory costs for such institutional investors.
Strategic Partnership Between CIRANO And The Autorité Des Marchés Financiers For The Promotion Of FinÉcoLab Educational Games In Quebec Schools

Date 01/12/2020

The Centre for Interuniversity Research and Analysis on Organizations (CIRANO) and the Autorité des marchés financiers are proud to announce the conclusion of a partnership agreement that will promote FinÉcoLab educational games over the next five years.
SEC Charges Unregistered Investment Adviser With Defrauding Puerto Rico Municipality

Date 01/12/2020

The Securities and Exchange Commission today charged an unregistered investment adviser based in Orlando, Florida for defrauding the Municipality of Mayagüez, Puerto Rico and misappropriating $7.1 million of taxpayer funds.
CFTC Division Of Enforcement Issues Annual Report - Agency Ordered Over $1.3 Billion In Monetary Relief And Brought Record Number Of Actions In FY 2020

Date 01/12/2020

The Commodity Futures Trading Commission’s Division of Enforcement today issued its annual report for Fiscal Year 2020 (FY 2020). The report catalogues the agency’s efforts to protect the public and preserve market integrity over that period, which yielded historic results despite the impact of the COVID-19 pandemic.

SEC Charges Boiler Rooms Operator With Defrauding Retail Investors

Date 01/12/2020

The SEC today charged New York resident Mark Alan Lisser with fraud for operating at least two boiler rooms, on Long Island, New York and in Boca Raton, Florida, through which he raised approximately $2.1 million from at least 71 retail investors and misappropriated more than $900,000 of their funds.
Cboe Global Markets To Present At The Goldman Sachs 2020 U.S. Financial Services Virtual Conference Tuesday, December 8

Date 01/12/2020

Cboe Global Markets, Inc. (Cboe: CBOE), a market operator and global trading solutions provider, announced today that Ed Tilly, Chairman, President and Chief Executive Officer, and Brian Schell, Executive Vice President, Chief Financial Officer and Treasurer, will present at the Goldman Sachs 2020 U.S. Financial Services Virtual Conference on Tuesday, December 8 at 1:40 p.m. ET.
The Vermont Pension Investment Committee Selects Matrix IDM As A Record Keeping Platform

Date 01/12/2020

Matrix, the award-winning solution provider to asset owners and managers has been selected to provide the Vermont Pension Investment Committee (VPIC) with a full, end to end cloud-based data management managed service. The firm underwent a thorough due diligence process and were selected due to their proven reputation with asset owners. This in time will create increased efficiencies and value for the investment team.
MGEX Reports Second-Best November In History

Date 01/12/2020

MGEX, a Designated Contract Market (DCM) and Derivatives Clearing Organization (DCO), reports the second best November in the history of the Exchange with a total of 260,612 contracts traded. Compared to November 2019, this past month saw an 11% increase. This also puts November 2020 in the record book as the 16th best month overall for MGEX.
SEC Awards Over $6 Million To Joint Whistleblowers

Date 01/12/2020

The Securities and Exchange Commission today announced an award of over $6 million to joint whistleblowers whose information and assistance led to the successful enforcement of SEC and related actions. The whistleblowers’ substantial assistance, provided to the SEC and another government agency, included submitting documents, participating in interviews, and identifying key individuals involved in the misconduct.