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ASIC: Fintech Company Pays Penalties For Crypto Product Representations
Date 27/09/2023
Following ASIC action, fintech company Bobbob Pty Ltd has paid $53,280 to comply with infringement notices regarding representations it made about a crypto-asset linked investment product.
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Nadex Self-Certifies Bitcoin Cash Cryptocurrency Touch Bracket Contracts
Date 26/09/2023
Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.2(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”), Nadex self-certified the terms and conditions for its new Bitcoin Cash Cryptocurrency Touch Bracket Variable Payout Contracts. These contracts will be listed on or after trade date September 29, 2023.
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CFTC Charges Florida Man With Forex And Binary Options Fraud And Misappropriation
Date 26/09/2023
The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Middle District of Florida against Patrick Wonsey of Riverview, Florida. The complaint charges Wonsey with fraud and misappropriation related to a trading scheme involving, among other things, leveraged or margined retail foreign currency (forex) and binary options traded on and off CFTC-regulated exchanges. Wonsey solicited at least $3.4 million from at least 50 individuals.
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SEC Charges Hydrogen Vehicle Co. Hyzon Motors And Two Former Executives For Misleading Investors
Date 26/09/2023
The Securities and Exchange Commission today announced settled fraud charges against Hyzon Motors Inc., an upstate New York-based company that builds hydrogen fuel cell electric vehicles (FCEVs), for misleading investors about its business relationships and vehicle sales before and after a July 2021 merger with a publicly-traded special purpose acquisition company, or SPAC. The SEC also charged Craig M. Knight, Hyzon’s former CEO, and Max C.B. Holthausen, former managing director of Hyzon’s European subsidiary, for their roles in the fraudulent scheme.
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Nasdaq Announces Mid-Month Open Short Interest Positions In Nasdaq Stocks As Of Settlement Date September 15, 2023
Date 26/09/2023
At the end of the settlement date of September 15, 2023, short interest in 3,247 Nasdaq Global MarketSM securities totaled 10,586,849,412 shares compared with 10,277,162,921 shares in 3,267 Global Market issues reported for the prior settlement date of August 31, 2023. The mid-September short interest represents 3.23 days compared with 3.40 days for the prior reporting period.
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NYSE Group Consolidated Short Interest Report
Date 26/09/2023
NYSE today reported short interest as of the close of business on the settlement date of September 15, 2023.
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SEC Charges California Advisory Firm AssetMark For Failing To Disclose Multiple Financial Conflicts
Date 26/09/2023
The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18 million to settle charges related to undisclosed conflicts of interest involving a cash sweep program operated by its affiliated custodian and its receipt of millions of dollars in revenue sharing payments from third-party custodians.
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CFTC - POSTPONED: October 5, 2023 Meeting Of The Global Markets Advisory Committee
Date 26/09/2023
The meeting of the Commodity Futures Trading Commission’s Global Markets Advisory Committee (GMAC) scheduled for Thursday, October 5, 2023 from 1:00 p.m. to 5:00 p.m. (Eastern Daylight Time) is being postponed to a later date to be determined.
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Nasdaq To Hold Third Quarter 2023 Investor Conference Call
Date 26/09/2023
Nasdaq (Nasdaq: NDAQ) has scheduled its Third Quarter 2023 financial results announcement.
WHO: Nasdaq’s CEO, CFO, and additional members of its senior management team WHAT: Review Nasdaq’s Third Quarter 2023 financial results WHEN: Wednesday, October 18, 2023 Results Call: 8:00 AM Eastern
Senior management will be available for questions from the investment community following prepared remarks.All participants can access the conference via webcast through the Nasdaq Investor Relations website at: http://ir.nasdaq.com/.
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Corrected: Avenir Technology Upgrades Palestine Exchange Central Securities Depository - Provides New Software To Replace Existing Solution
Date 26/09/2023
Avenir Technology Limited (www.avenir-technology.com), a global developer of post-trade Financial Market Infrastructure solutions, has today announced that it will deploy its AvenirCSD functionality as part of an upgrade by the Palestine Exchange. Founded in 1995 and now home to 49 issuers, the exchange has offered a fully automated trading and post-trade solution since its inception and was the first exchange in the region to offer such functionality. (www.pex.ps)
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