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US Justice Department: Och-Ziff Capital Management Admits To Role In Africa Bribery Conspiracies And Agrees To Pay $213 Million Criminal Fine - Och-Ziff Enters Into Three-Year Deferred Prosecution Agreement; Subsidiary Pleads Guilty To Conspiracy To Violate The Foreign Corrupt Practices Act

Date 29/09/2016

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 resolutions to resolve criminal charges and agreed to pay a criminal penalty of more than $213 million in connection with a widespread scheme involving the bribery of officials in the Democratic Republic of Congo (DRC) and Libya.     

CFTC Charges Options Trader Thomas C. Lindstrom With Fraud - CFTC Alleges Lindstrom’s Scheme Caused His Employer More Than $13.9 Million In Losses And Led To The Collapse Of Rock Capital Markets, LLC In Early 2015, After More Than 23 Years In Business

Date 29/09/2016

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 10-year U.S. Treasury note futures (T-Note Options). Lindstrom is registered with the CFTC as a floor broker, has been a member of the Chicago Board of Trade (CBOT) since 1993, and is a long-time trader of T-Note Options offered on the CBOT.

Federal Reserve Chair Janet L. Yellen At The "Banking And The Economy: A Forum For Minority Bankers," Sponsored By The Federal Reserve Bank Of Kansas City, Kansas City, Missouri (Via Videoconference), September 29, 2016, Brief Remarks

Date 29/09/2016

Watch live 

Thank you, and I also would like to thank the organizers of this forum for arranging for me to be part of your conversation, on a day when other business unfortunately prevents me from travelling to Kansas City.

CFTC Orders Jon P. Ruggles To Disgorge More Than $3.5 Million In Trading Profits And Pay A $1.75 Million Penalty For His Illegal Futures And Options Trading - Ruggles Misappropriated His Former Employer’s Confidential, Nonpublic Trading Information To Benefit His Personal Trading

Date 29/09/2016

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 noncompetitive trades in crude oil and heating oil futures and options and RBOB gasoline futures on the New York Mercantile Exchange (NYMEX), a division of CME Group, from March 2012 to December 2012. During that time, Ruggles resided and worked in Atlanta, Georgia.

AMF Officials To Head Major IOSCO Committee

Date 29/09/2016

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 Strategic Monitoring, have been elected to head major committees of the International Organization of Securities Commissions (IOSCO).

SEC Announces Agenda For October 5 Meeting Of The Advisory Committee On Small And Emerging Companie

Date 29/09/2016

The Securities and Exchange Commission today announced the agenda for the October 5 meeting of its Advisory Committee on Small and Emerging Companies.  The committee will discuss Regulation S‑K disclosure requirements, research regarding corporate board diversity, and outreach to smaller companies about capital raising.  It also will receive updates from the Division of Trading and Markets on equity market structure initiatives, a tick-size pilot, and the treatment of so-called “finders” that assist companies in capital raising activities.

Canadian Securities Regulators Issue Guidance On Derivatives Reporting Obligations

Date 29/09/2016

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 today published CSA Multilateral Staff Notice 91-305 Frequently Asked Questions relating to Multilateral Instrument 91-101 Derivatives: Product Determination and Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting.

SEC: Och-Ziff Hedge Fund Settles FCPA Charges - Och-Ziff Executives Also Settle Charges

Date 29/09/2016

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 Practices Act (FCPA). 

Canadian Securities Regulators Provide Update On Consideration Of Concerns Regarding Report Of Exempt Distribution

Date 29/09/2016

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 Prospectus Exemptions. 

Cadillac Fairview And TMX Group Announce Lease Agreement In Montréal - Montréal Exchange To Relocate To Deloitte Tower In City's Burgeoning Quad Windsor District

Date 29/09/2016

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 The Canadian Depository for Securities, Canadian Derivatives Clearing Corporation, Toronto Stock Exchange and TSX Venture Exchange will occupy approximately 44,000 square feet on two floors of the 26-storey office building, and will start adapting the space for occupancy this fall.