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  • SEC Obtains Asset Freeze In Microcap Pump And Dump Scheme Targeting Elderly Retail Investors

    Date 18/07/2019

    The Securities and Exchange Commission today announced an emergency action charging two individuals with running a pump and dump scheme targeting retail investors. The SEC also obtained an emergency court order freezing the defendants' assets.

  • G7 Announces Common Understanding Of G7 Competition Authorities On Competition And The Digital Economy

    Date 18/07/2019

    The G7 Finance Ministers and Central Bank Governors met on July 17-18, 2019 in Chantilly, France.  The United States was represented by Secretary of the Treasury Steven Mnuchin.  One of the items on the agenda was Competition and the Digital Economy.  In preparation for this meeting, Assistant Attorney General Makan Delrahim met on June 5 with his G7 counterparts in Paris, and drafted a Common Understanding of G7 Competition Authorities on Competition and the Digital Economy to inform the discussion in Chantilly.  The Common Understanding was publicly released today.

  • CFTC Orders Former Hedge Fund Portfolio Manager To Pay More Than $700,000 In Monetary Sanctions For Fraudulently Mismarking Swaps

    Date 18/07/2019

    The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Swapnil Rege, a former portfolio manager for a Connecticut-based hedge fund registered with the CFTC as a commodity pool operator (CPO), for fraudulently mismarking swap valuations to artificially inflate the profits of his employer’s trading book in order to obtain an increased performance bonus. 

  • SEC Charges Portfolio Manager With Mispricing Fund Investments

    Date 18/07/2019

    The Securities and Exchange Commission today announced settled administrative proceedings against Swapnil Rege, a North Brunswick, New Jersey portfolio manager and trader, for mispricing private fund investments, resulting in a large personal bonus.

  • UK Financial Conduct Authority: Statement On Regulatory Coordination

    Date 18/07/2019

    As announced by the Chancellor at Mansion House, the Chief Executives of the Prudential Regulation Authority, Financial Conduct Authority, Payment Systems Regulator and Competition and Markets Authority met together with the Chancellor today to discuss a plan to improve regulatory coordination. All the authorities committed to taking forward work to improve regulatory coordination alongside the forthcoming call for evidence from HM Treasury.

  • Lords EU Committee To Hear From Gina Miller, Sir John Curtice And Henry Newman On Impact Of New PM On Brexit

    Date 18/07/2019

    The House of Lords EU Committee will next week take evidence on the future of Brexit and the impact of the new Prime Minister on the UK’s exit from the EU.

  • EBA Publishes Report On Regulatory Perimeter, Regulatory Status And Authorisation Approaches In Relation To FinTech Activities

    Date 18/07/2019

    The European Banking Authority (EBA) published today the findings of its analysis on the regulatory framework applicable to FinTech firms when accessing the market. The Report illustrates the developments on the regulatory perimeter across the EU, the regulatory status of FinTech firms, and the approaches followed by competent authorities when granting authorisation for banking and payment services.

  • Chairman Tarbert Announces CFTC Executive Leadership Appointments

    Date 18/07/2019

    U.S. Commodity Futures Trading Commission Chairman Heath P. Tarbert announced the following appointments to key executive leadership positions at the CFTC:

    • James M. McDonald will continue to serve as Director of the Division of Enforcement
    • Amir R. Zaidi will continue to serve as Director of the Division of Market Oversight
    • Joshua B. Sterling will serve as Director of the Division of Swap Dealer and Intermediary Oversight
    • Bruce A. Tuckman will continue to serve as Chief Economist and Director of the Office of the Chief Economist
    • Michael C. Short will serve as Director of the Office of External Affairs and Chief Communications Officer
    • Sarah J. Summerville will continue to serve as Director of the Office of Minority and Women Inclusion

  • Società Editoriale Il Fatto Lists On Euronext Growth

    Date 18/07/2019

    Euronext today welcomed Società Editoriale Il Fatto (SEIF), an independent Italian multimedia provider and publisher, to Euronext Growth. SEIF is the second Italian company with a dual listing on Euronext and on the Italian market, this year.

  • SEC Retail Strategy Task Force To Host Roundtable On Combating Elder Investor Fraud

    Date 18/07/2019

    The Securities and Exchange Commission today announced that its Retail Strategy Task Force will host a roundtable on October 3 on combating elder investor fraud. The roundtable will focus on the types of fraudulent and manipulative schemes currently targeting elder investors. The roundtable also will explore views from a broad range of regulators and industry experts on potential steps regulators, broker-dealers, investment advisers, and others can take to identify and combat elder investor fraud.