FTSE Mondo Visione Exchanges Index:
News Centre
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Dissenting Statement Of CFTC Commissioner Summer K. Mersinger Regarding Amendments To Part 40 Of The CFTC’s Regulations
Date 12/09/2024
I respectfully dissent from the adoption of the final rule amending Part 40 of the Commodity Futures Trading Commission’s regulations because I fear these amendments formalize a steady erosion of the Commission’s self-certification process.
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The CFTC Approves Part 40 Final Rule To Simplify And Enhance Rule And Product Submission Processes
Date 12/09/2024
The Commodity Futures Trading Commission approved a final rule to amend Part 40 of the CFTC’s regulations. The regulations in Part 40 implement Section 5c(c) of the Commodity Exchange Act and govern how registered entities submit self-certifications, and requests for approval, of their rules, rule amendments, and new products for trading and clearing, as well as the CFTC’s review and processing of such submissions.
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SEC Charges Three Former Executives Of Pharmacy Startup Medly Health Inc. With Defrauding Investors - Now-Defunct Digital Pharmacy Raised Over $170 Million Based On Fake Prescriptions And Fraudulently Inflated Revenue
Date 12/09/2024
The Securities and Exchange Commission today charged now-defunct digital pharmacy startup Medly Health Inc’s. co-founder and former CEO, Marg Patel, former CFO, Robert Horowitz, and former Head of Rx Operations, Chintankumar Bhatt, with defrauding investors in connection with capital raising efforts that netted the company over $170 million.
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Statement Of CFTC Commissioner Caroline D. Pham In Support Of Rule 4.7 Amendments
Date 12/09/2024
Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham issued the following statement on the final rule to amend Regulation 4.7:
“I'm pleased that the Commission is taking additional time to understand how to best protect market participants and to consider the various disclosure proposals submitted by the public in connection with Regulation 4.7."
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SEC Files Settled Charges Against Three StraightPath Sales Agents For Unregistered Broker Activity
Date 12/09/2024
The Securities and Exchange Commission today announced settled charges against three sales agents from StraightPath Venture Partners—Anthony Guarino, Robert Seropian, and Frank Vecchio—for unregistered broker activity, including selling membership interests in LLCs that purported to invest in shares of pre-IPO companies. Vecchio also settled the SEC’s previously announced fraud charges against him.
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SEC Investor Advisory Committee To Discuss Investment Advice And Key Topics From Securities Litigation At Sept. 19 Meeting
Date 12/09/2024
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19, 2024, at 10 a.m. ET at the SEC Headquarters in Washington, D.C. The meeting will also be webcast on the SEC website.
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Supporting Statement Of CFTC Commissioner Summer K. Mersinger Regarding The Final Amendments To Regulation 4.7
Date 12/09/2024
Today, the Commission achieved balance in adopting the amendments to Regulation 4.7 and for that reason I can support this final rule. I would like to thank the staff in the Market Participants Division for their hard work on this rulemaking effort and for their consideration of my suggestions and comments throughout this process.
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CFTC Approves Final Rule Regarding Exemptions From Certain Compliance Requirements For Commodity Pool Operators, Commodity Trading Advisors, And Commodity Pools
Date 12/09/2024
The Commodity Futures Trading Commission today published a final rule that amends CFTC Regulation 4.7, a provision that provides exemptions from certain compliance requirements for commodity pool operators (CPOs) regarding commodity pool offerings to qualified eligible persons (QEPs) and for commodity trading advisors (CTAs) regarding trading programs advising QEPs.
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Canadian Securities Regulators Publish Derivatives Business Conduct Rule FAQs
Date 12/09/2024
The Canadian Securities Administrators (CSA) today published CSA Staff Notice 93-302 Frequently Asked Questions about National Instrument 93-101 Derivatives: Business Conduct (the FAQs) to address frequently asked questions from derivatives market participants related to National Instrument 93-101 Derivatives: Business Conduct (NI 93-101), which comes into force on September 28, 2024.
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CFTC Charges Unregistered Florida Commodity Pool Operator And Its Chief Executive Officer With Futures Fraud
Date 12/09/2024
The Commodity Futures Trading Commission today announced it filed a civil enforcement action in the U.S. District Court for the Middle District of Florida against Aureus Revenue Group LLC (Aureus), a Florida entity, and its owner and chief executive officer, Emir Jesus Matos Camargo (Matos) of Orlando, Florida. The complaint alleges they operated a fraudulent scheme in which they solicited at least $1.5 million from pool participants to invest in a commodity pool. They also misappropriated pool participant funds by paying Matos personal expenses and paying some pool participants using funds from other pool participants, in the manner of a Ponzi scheme.
