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Robinhood Markets, Inc. To Present At The J.P. Morgan Global Technology, Media And Communications Conference On May 21, 2024
Date 14/05/2024
Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today announced that it will be participating in the upcoming J.P. Morgan Global Technology, Media and Communications Conference on Tuesday, May 21, 2024.
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SEC Seeks Candidates For Small Business Capital Formation Advisory Committee
Date 14/05/2024
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and policy matters relating to small businesses.
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SEC Charges Hudson Valley Wealth Management Advisory Firm And Founder For Failing To Disclose Conflicts Of Interest - Firm Owner Received Undisclosed Fee For Investing Clients’ Money In Films
Date 14/05/2024
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to disclose conflicts of interest and making misleading statements to their clients. To settle the charges, Hudson Valley agreed to pay a civil penalty of $200,000, and Conover agreed to pay more than $600,000 in disgorgement and prejudgment interest and a $150,000 civil penalty.
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CFTC Charges Agridime and Its Co-Founders with a Fraudulent Cattle Scheme
Date 14/05/2024
The Commodity Futures Trading Commission today announced it filed a civil enforcement action in the U.S. District Court for the Northern District of Texas against Agridime LLC, a Texas corporation, and its co-founders, Joshua Link of Gilbert, Arizona and Jed Wood of Ft. Worth, Texas.
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London Stock Exchange Group plc: Variation Of lock-Up Arrangements
Date 14/05/2024
London Stock Exchange Group plc ("LSEG" or the "Company") notes the announcement by York Holdings II Limited ("York Holdings II") and York Holdings III Limited ("York Holdings III" and together with York Holdings II, the "York Entities") (entities owned by BCP York Holdings (Delaware) L.P. (an entity owned by a consortium of certain investment funds affiliated with Blackstone Inc. and including an affiliate of Canada Pension Plan Investment Board, an affiliate of GIC Special Investments Pte. Ltd. and certain other co-investors) ("BCP York"), Thomson Reuters and certain other minority holders) (BCP York and the York Entities together, the "Consortium") in relation to a proposed placing of LSEG shares to institutional investors (the "Placing").
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Miami Federal Court Orders Multiple Individuals And Entities To Pay Over $225 Million For Foreign Currency Fraud And Misappropriation Scheme - Federal Court Also Orders Georgia-Based Certified Public Accountant To Pay $467,000 In Monetary Sanctions To Settle Charges For His Involvement In The Fraud
Date 14/05/2024
The Commodity Futures Trading Commission today announced the Honorable Darrin P. Gayles of the U.S. District Court for the Southern District of Florida issued an order of default judgment against four individuals and five companies (nine defendants): Jase Davis of Brandon, Mississippi; Borys Konovalenko of Ukraine; Anna Shymko of Duluth, Georgia; Alla Skala of Grand Island, New York and/or Fort Erie, Canada; Easy Com LLC d/b/a ROFX, a New Hampshire LLC; Global E-Advantages LLC a/k/a Kickmagic LLC d/b/a ROFX, a Delaware LLC and New York foreign LLC; Grovee LLC d/b/a ROFX, a Delaware LLC; Notus LLC d/b/a ROFX, a dissolved Colorado LLC; and Shopostar LLC d/b/a ROFX, a Colorado LLC.
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Euronext Publishes Q1 2024 Results - Strong Start Of The Year With Record Topline Driven By Strong Organic Growth Of Euronext’s Diversified Business Model
Date 14/05/2024
Euronext, the leading pan-European market infrastructure, today publishes its results for the first quarter 2024.
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BIS, Central Banks And The IIF Invite Private Financial Institutions To Join Project Agorá
Date 14/05/2024
- Project seeks to bring together a diverse set of regulated financial institutions.
- Applying institutions are expected to have digital innovation experience and to be active in cross-border payments.
- Project Agorá will test if tokenised deposits can enhance the functioning of wholesale cross-border payments.
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Martin Jetter Confirmed As Chairman Of Deutsche Börse AG's Supervisory Board
Date 14/05/2024
- Shareholder representatives on the Supervisory Board newly elected at today's Annual General Meeting
- Sigrid Kozmiensky new to the board
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ISDA And FIA Response To CFTC On Swaps LTR Rules (Part 20)
Date 14/05/2024
On May 13, ISDA and FIA responded to the US Commodity Futures Trading Commission’s (CFTC) proposed request for approval from the Office of Management and Budget to continue to collect information related to certain physical commodity swap positions in accordance with the CFTC’s swaps large trader reporting (LTR) rules. In the response, the associations request that the CFTC sunset the swaps LTR rules with §20.9 sunset provision.
