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SEC Names Stephanie Avakian And Steven Peikin As Co-Directors Of Enforcement

Date 08/06/2017

The Securities and Exchange Commission today announced that Acting Director of the Division of Enforcement Stephanie Avakian and former federal prosecutor Steven Peikin have been named Co-Directors of the Division of Enforcement. The Division of Enforcement is the agency's largest unit with more than 1,200 investigators, accountants, trial attorneys, and other professionals.
CFTC Charges Seattle Residents Sung Hong A/K/A Lawrence Or Laurence Hong, Hyun Joo Hong A/K/A Grace Hong, And Her Company Pishon Holding LLC With Fraudulently Soliciting More Than $11 Million From Customers In Connection With Trading Futures - Federal Court Issues Order Freezing Defendants’ Assets And Protecting Books And Records - Lawrence Hong Is A Felon Who Previously Committed Solicitation And Misappropriation Fraud

Date 08/06/2017

The U.S. Commodity Futures Trading Commission (CFTC) announced that on June 1, 2017, Judge James Robart of the U.S. District Court for the Western District of Washington entered a Statutory Restraining Order (SRO) against Sung Hong a/k/a Lawrence or Laurence Hong of Bellevue, Washington (Laurence Hong), Hyun Joo Hong a/k/a Grace Hong of either Bellevue or Clyde Hill, Washington (Grace Hong), and her company Pishon Holding LLC (Pishon) of Bellevue, Washington (collectively, the Defendants). The SRO, among other things, froze the Defendants’ assets and granted the CFTC the right to immediately inspect and copy the Defendants’ business records.
Publication Of A CSA Multilateral Staff Notice Regarding The Filing Of The Report By The Auditor Required By National Instrument 81-102 Investment Funds

Date 08/06/2017

The securities regulatory authorities in Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Québec, Saskatchewan and Yukon (the Participating Jurisdictions) today published CSA Multilateral Staff Notice 81-328 Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of National Instrument 81-102 Investment Funds regarding the requirement prescribed by paragraphs 12.1(1)(b), 12.1(2)(b) and 12.1(3)(b) of National Instrument 81-102 Investment Funds (NI 81-102).
JPMorgan Chase: Departure Of Directors Or Certain Officers - Election Of Directors - Appointment Of Certain Officers - Compensatory Arrangements Of Certain Officers

Date 08/06/2017

On June 8, 2017, JPMorgan Chase & Co. (the “Firm”) announced that Matthew E. Zames, Chief Operating Officer, has decided to leave the Firm following thirteen years of outstanding service. Mr. Zames is working closely with the Firm to ensure a smooth transition of his responsibilities to other members of the Operating Committee and will continue to do so over the coming weeks.
Canadian Securities Regulators Seek Comment On Proposed Amendments To Report Of Exempt Distribution

Date 08/06/2017

The Canadian Securities Administrators (CSA) today published for comment proposed amendments to National Instrument 45-106 Prospectus Exemptions that would amend the report of exempt distribution set out in Form 45-106F1 Report of Exempt Distribution (Report).

ISDA Americas Credit Derivatives Determinations Committee: Manor Care Inc. Failure To Pay Credit Event

Date 08/06/2017

The International Swaps and Derivatives Association, Inc. (ISDA) today announced that its Americas Credit Derivatives Determinations Committee resolved that a failure to pay credit event occurred in respect of Manor Care Inc.
CalPERS' Sustainable Investment Efforts Honored By Responsible Investor

Date 08/06/2017

The California Public Employees' Retirement System (CalPERS) has won Responsible Investor's inaugural award for Innovation & Industry Leadership for its Environmental, Social, and Governance 5-Year Strategic Plan (PDF). The award was presented at the RI Europe 2017 conference in London, England.
BNY Mellon Appoints Bridget E. Engle Senior Executive Vice President And Chief Information Officer, effective June 8, 2017

Date 08/06/2017

BNY Mellon, a global leader in investment management and investment services, has appointed Bridget E. Engle as Senior Executive Vice President and Chief Information Officer. Engle, who reports directly to CEO Gerald Hassell, also joins the firm's Executive Committee, BNY Mellon's senior-most governing body.
MIAX Options: New Equity Rights Program For 2017

Date 08/06/2017

MIAX Options (the “Exchange”) filed for immediate effectiveness to implement an equity rights program pursuant to which units representing the right to acquire equity in the Exchange’s parent holding company, Miami International Holdings (“MIH”) would be issued to a participating Member in exchange for payment of an initial purchase price or the prepayment of certain transaction fees and the achievement of certain volume thresholds on the Exchange over a 42 month period.
Euronext Announces Quarterly Review Results For The AEX, AMX And AScX

Date 08/06/2017

Euronext today announced the results of the quarterly review of the AEX®, AMX® and AScX® indices. The changes due to the review will be effective from Monday 19 June 2017.