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SEC Charges BMW For Disclosing Inaccurate And Misleading Retail Sales Information To Bond Investors

Date 24/09/2020

The Securities and Exchange Commission today announced settled charges against Germany-based automaker BMW AG and two of its U.S. subsidiaries for disclosing inaccurate and misleading information about BMW’s retail sales volume in the U.S. while raising approximately $18 billion from investors in several corporate bond offerings.
US Department Of Justice: U.S. Accountant In Panama Papers Investigation Sentenced To Prison

Date 24/09/2020

A U.S. accountant was sentenced in the Southern District of New York to 39 months in prison for wire fraud, tax fraud, money laundering, aggravated identity theft, and other charges, announced Acting Assistant Attorney General Brian C. Rabbitt and Acting U.S. Attorney Audrey Strauss of the Southern District of New York.
CME Group Brings Export Quality Crude Oil To The Water Via WTI Houston (HCL) Futures

Date 24/09/2020

CME Group, the world's leading and most diverse derivatives marketplace, today announced that it has added dock allocation as an additional delivery point for its NYMEX WTI Houston (HCL) Crude Oil futures contracts, pending regulatory review. The added delivery point, effective with the January 2021 contract, will allow eligible market participants to deliver WTI Houston (HCL) Crude Oil futures directly onto a tanker at the Houston Ship Channel terminal owned by a subsidiary of Enterprise Products Partners L.P.
CalPERS Names Yup Kim Private Equity Investment Director

Date 24/09/2020

CalPERS announced today that Yup Kim will join the pension fund as its new investment director in private equity.
EBS Institutional Connects To IHS Markit's ThinkFolio Investment Management Platform

Date 24/09/2020

EBS, a leading provider of electronic trading platforms and technology services in foreign exchange markets, today announced the connectivity between its EBS Institutional (EBSI) execution management system and thinkFolio, a leading multi-asset investment management platform from IHS Markit.

Autorité Des Marchés Financiers Publishes Annual Summary Of Corporate Finance Oversight And Regulatory Activities

Date 24/09/2020

The Autorité des marchés financiers (the “AMF”) today published its annual Summary of Oversight and Regulatory Activities, which details the key initiatives of the Direction principale du financement des sociétés (“Corporate Finance”) for the 2019-2020 fiscal year.
CFTC Fines New York And UK-Based Firms For Net Capital Deficiencies

Date 24/09/2020

The Commodity Futures Trading Commission today issued orders filing and settling charges against Marex North America LLC, a registered futures commission merchant with its principal place of business in New York, New York, and Marex Spectron International Limited, a registered introducing broker with its principal place of business in London, United Kingdom, for failure to meet minimum adjusted net capital requirements.
Oslo Optiq Migration: Extended Next EUA Hours, Oslo Derivatives Closed To Testing On 23 September, And Fixed Income Group Change

Date 24/09/2020

Opening hours for the Oslo Cash and Fixed Income trading groups and Oslo Derivatives Exchanges in the Next EUA (p-EUA) environment have been extended to allow more testing time for clients.
CFTC Fines Houston, Chicago, And London-Based Introducing Brokers For Net Capital Deficiencies

Date 24/09/2020

The Commodity Futures Trading Commission today issued orders filing and settling charges against three registered introducing brokers (IB)—EOX Holdings LLC of Houston, Texas; Futures International LLC of Chicago, Illinois; and OTC Europe LLP of London, United Kingdom—for failure to meet minimum adjusted net capital requirements.
SEC Charges Lighting Products Company And Four Executives With Accounting Violations

Date 24/09/2020

The Securities and Exchange Commission today charged Connecticut-based Revolution Lighting Technologies Inc. for an accounting fraud that falsely inflated its reported revenues over a four-year period. Four Revolution Lighting executives—CEO Robert LaPenta, former CFO James DePalma, and two former CFOs of the firm’s largest division, Allen Garner and Daniel O’Neal— were also charged for their roles in causing Revolution Lighting to misreport its revenue. All have agreed to settlements to resolve the claims against them.