April 2019
FIA’s Charlie Jones named ASAE Fellow
FIA’s Senior Vice President of Global Brand Management Charlie Jones was recently named a Fellow by the American Association of Association Executives.
Positive Mood on Better China PMI figures
Asian stocks finished strong as investors digest better China PMI figures and progress in trade negotiations between the US and China.
SEC Charges Medical Device Company With FCPA Violations
SEC announced that FMC agreed to pay more than $231 million to resolve issues related to its violations of FCPA across multiple countries across decade.
Moscow Exchange to Launch Sustainability Indices
MOEX will begin calculating and publishing daily sustainability indices created jointly with the Russian Union of Industrialists and Entrepreneurs (RSPP).
SEC Awards $50 Million to Two Whistleblowers
SEC Awards $50 Million to Two Whistleblowers whose high-quality information assisted the agency in bringing a successful enforcement action.
SEC Charges College Official for Fraudulently Concealing Financial Troubles From Municipal Bond Investors
SEC charged Keith Borge of College of New Rochelle with defrauding investors by fraudulently concealing college’s deteriorating finances.
Investment Adviser Charged With Stealing Millions From Private Fund
SEC revoked registration of Sweetwater Investments Inc and barred its principal from securities industry for stealing money from a private fund it managed.
SEC Charges New Jersey Man With Fraudulently Causing Advisory Firm to Overbill Clients
SEC filed charges agains former COO of a investment adviser for aiding and abetting advisory firm’s actions to overbill its clients.
March 2019
The World Federation of Exchanges responds to FCA’s Guidance on Cryptoassets
The global industry group for exchanges and CCPs, has responded to the UK’s Financial Conduct Authority (FCA) on its Guidance on Cryptoassets.
FMA Publishes Guide To Investors Shares
The FMA has published a guide for investors shares on the nuts and bolts of choosing, buying, owning and selling. The guide, Share this!
CFTC’s Agricultural Advisory Committee to Meet April 11 in Overland Park, KS
CFTC Agricultural Advisory Committee (AAC) announced today that it will hold a public meeting on April 11, 2019 in Overland Park, Kansas.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.