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SEC Charges Six Credit Rating Agencies With Significant Recordkeeping Failures - Firms Admit To Wrongdoing And Agree To Pay Penalties Totaling More Than $49 Million To Settle SEC Charges
Date 03/09/2024
The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders; acknowledged that their conduct violated recordkeeping provisions of the federal securities laws; agreed to pay combined civil penalties of more than $49 million, as detailed below; and have begun implementing improvements to their compliance policies and procedures to address these violations.
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MarketAxess To Participate In The Barclays Global Financial Services Conference
Date 03/09/2024
MarketAxess Holdings Inc. (Nasdaq: MKTX), the operator of a leading electronic trading platform for fixed-income securities, today announced that Chris Concannon, Chief Executive Officer, and Ilene Fiszel Bieler, Chief Financial Officer, will participate in the Barclays Global Financial Services Conference on September 10, 2024.
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Federal Court Orders Oregon Man To Pay Over $209 Million In Monetary Sanctions For Commodity Pool Ponzi Schemes - CFTC Also Recovers $18 Million Stolen From Court-Appointed Receiver
Date 03/09/2024
The Commodity Futures Trading Commission today announced Judge Mary Rowland of the U.S. District Court for the Northern District of Illinois entered an order of final judgment against Sam Ikkurty of Oregon and Jafia, LLC, Ikkurty Capital, LLC d/b/a Rose City Income Fund I LP, Rose City Income Fund II, and Seneca Ventures, LLC imposing a judgment totaling $209,614,892.
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Coinbase To Participate In The Goldman Sachs Communacopia + Technology Conference
Date 03/09/2024
Coinbase Global, Inc. announced today that Brian Armstrong, Co-Founder and Chief Executive Officer, and Alesia Haas, Chief Financial Officer, will participate in a fireside chat at the Goldman Sachs Communacopia + Technology Conference on Tuesday, September 10, 2024 at 1:10 pm ET / 10:10 am PT.
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SEC Charges Advisory Firm ClearPath With Custody Rule And Liability Disclaimer Violations
Date 03/09/2024
The Securities and Exchange Commission today announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and for its use of impermissible liability disclaimers in its advisory and private fund agreements.
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SEC Charges Creative Legal Fundings CEO Maria Dickerson With Operating Multimillion Dollar Ponzi Scheme That Targeted Filipino-American Community
Date 03/09/2024
The Securities and Exchange Commission today charged Maria Dulce Pino Dickerson and her companies Creative Legal Fundings in CA and The Ubiquity Group LLC with raising approximately $7 million from more than 130 investors through a fraudulent securities offering targeting members of the Filipino-American community across the United States.
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US Office Of The Comptroller Of The Currency Releases CRA Evaluations For 17 National Banks And Federal Savings Associations
Date 03/09/2024
The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of August 1, 2024, through August 31, 2024. The list contains only national banks, federal savings associations, and insured federal branches of foreign banks that have received ratings. The possible ratings are outstanding, satisfactory, needs to improve, and substantial noncompliance.
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SEC Charges Crypto-Focused Advisory Firm Galois Capital For Custody Failures - Firm Also Misled Investors About Its Redemption Practices
Date 03/09/2024
The Securities and Exchange Commission today announced settled charges against Florida-based Galois Capital Management LLC, a former registered investment adviser for a private fund that primarily invested in crypto assets, for failing to comply with requirements related to the safeguarding of client assets, including crypto assets being offered and sold as securities. The Commission also found that Galois misled fund investors about the notice period required for redemptions. To settle the SEC’s charges, Galois agreed to pay a civil penalty of $225,000, which will be distributed to its fund’s harmed investors.
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US Acting Comptroller Of The Currency Discusses The Evolution Of Bank Supervision
Date 03/09/2024
Acting Comptroller of the Currency Michael J. Hsu today discussed the evolution of bank supervision during a presentation at the Joint European Banking Authority and European Central Bank International Conference in Frankfurt, Germany.
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ISDA - Interest Rate Derivatives Trading Activity Reported In EU, UK And US Markets: First Half Of 2024 And The Second Quarter Of 2024
Date 03/09/2024
The report analyzes interest rate derivatives (IRD) trading activity reported in Europe. The analysis is based on transactions publicly reported by 30 European approved publication arrangements (APAs) and trading venues (TVs).
