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SEC: Two BMO Advisory Firms Pay Over $37 Million To Harmed Clients For Failing To Disclose Conflicts Of Interest

Date 27/09/2019

The Securities and Exchange Commission today announced that two BMO advisers have agreed to pay over $37 million to settle charges regarding their failure to tell clients about certain aspects of how the advisers selected investments in their retail investment advisory program, known as the Managed Asset Allocation Program (MAAP), which included the selection of more expensive investments from which BMO advisers profited.
Moscow Exchange: Risk Parameters Change On Securities Market

Date 27/09/2019

CCP NCC is changing PcH_max parameter value that defines price up limit for PAZA shares on Securities market starting from September 30, 2019:

Ticker Current value PcH_max New value PcH_max

PAZA 40% 10%
CFTC Announces Approximately $7 Million Whistleblower Award

Date 27/09/2019

The U.S. Commodity Futures Trading Commission today announced it will award approximately $7 million to a whistleblower. Relevant information from the whistleblower’s account of the misconduct led the CFTC to investigate and ultimately find a violation of the Commodity Exchange Act (CEA).
BOX Exchange Fee Change – October 2019

Date 27/09/2019

Effective October 1, 2019, BOX Exchange LLC (“BOX”) is making the following changes to the BOX Fee Schedule:
CFTC Commitments Of Traders Reports Update

Date 27/09/2019

The current reports for the week of September 24, 2019 are now available.

Ticker	Current value PcH_max	New value PcH_max
PAZA	40%	10%

SEC Updates List Of Firms Using Inaccurate Information To Solicit Investors

Date 27/09/2019

The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 23 soliciting entities, two impersonators of genuine firms, and 12 bogus regulators.
Intercontinental Exchange Provides Statement About New SEC Rule On ETFs

Date 27/09/2019

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, made the following statement today in response to passage of Rule 6c-11 by the U.S. Securities and Exchange Commission. This rule was designed to modernize the regulation of Exchange Traded Funds (ETFs), bringing new standards to the ETF industry and opening the door to significantly more participation and innovation.
SEC Charges Canadian Clean Fuel Technology Company And Former CEO With FCPA Violations

Date 27/09/2019

The Securities and Exchange Commission today announced that Westport Fuels Systems, Inc., a Canadian clean fuel technology company headquartered in Vancouver, Canada, and its former chief executive officer, Nancy Gougarty, of Leesville, South Carolina, have agreed to pay more than $4.1 million to resolve charges that they violated the Foreign Corrupt Practices Act (FCPA) by paying bribes to a foreign government official in China.
American Financial Exchange (AFX) Announces People’s Bank Of Seneca As The First Native-American Minority-owned Bank To Join Exchange

Date 27/09/2019

American Financial Exchange (AFX), an electronic exchange for direct lending and borrowing for American financial institutions, announced today that People’s Bank of Seneca headquartered in Seneca, Missouri, has joined the Exchange. People’s Bank of Seneca is the first Native American minority-owned bank to become a member of the AFX.
SEC: Automaker To Pay $40 Million For Misleading Investors

Date 27/09/2019

The Securities and Exchange Commission today charged Michigan-based automaker FCA US LLC, and its parent company, Fiat Chrysler Automobiles N.V., for misleading investors about the number of new vehicles sold each month to customers in the United States. FCA US and Fiat Chrysler Automobiles have agreed to pay $40 million to settle the charges.