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News Centre
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Date 30/09/2022
SEC Charges Eight In Scheme To Fraudulently Promote Securities Offerings
The Securities and Exchange Commission today announced charges against six individuals and two companies for their involvement in a fraudulent scheme to promote the securities of issuers that were conducting (or purporting to conduct) offerings pursuant to Regulation A, which, if certain conditions are met, provides an exemption to the Securities Act’s registration provisions. All but two of the parties have agreed to settle the SEC charges.
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Date 30/09/2022
CFTC Commitments Of Traders Reports Update
The current reports for the week of September 27, 2022 are now available.
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Date 30/09/2022
ISDA derivatiViews: Efficiency Through Reporting Best Practice
During the recent era of regulatory change, a lack of consistency in the way rules were drafted and implemented has been one of the biggest challenges for market participants and regulators. Nowhere is this more evident than in trade reporting requirements for over-the-counter (OTC) derivatives, which were put in place to enhance market transparency. The lack of consistency in what is reported means this objective has not been fully achieved – but with forthcoming rule changes and a new digital approach to reporting, real transparency is finally within reach.
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Date 30/09/2022
Remarks At The Association Of Asian American Investment Managers Elevate 2022 Keynote Lunch Program, SEC Commissioner Mark T. Uyeda, New York, NY, Sept. 29, 2022
Good afternoon. Thank you for the invitation to address the Association of Asian American Investment Managers (AAAIM). Over the past year, I have appreciated getting to know the AAAIM team of Jim Park, Kit Canlas, and Alyssa Lee, and their efforts to carry out AAAIM’s mission. I also want to recognize Ginger Lew for her efforts, both as an AAAIM co-founder and as a dedicated public servant. And, finally, I would like to recognize Maeley Tom, another AAAIM co-founder, who – eighteen years ago – reached out to me, someone who was brand new to public service in state government in Sacramento, and whose career continues to inspire.
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Date 30/09/2022
Nadex Refrains From Listing Certain Contracts
Due to activity in the underlying markets upon which the Nadex contracts are based and pursuant to the authority granted in Nadex Rule 12.1(i), Nadex took the following actions:
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Date 30/09/2022
Statement By US Secretary Of The Treasury Janet L. Yellen On Passage Of Additional Economic Assistance For Ukraine
Secretary of the Treasury Janet L. Yellen issued the following statement on passage of the Continuing Appropriations and Ukraine Supplemental Appropriations Act, 2023:
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Date 30/09/2022
Nigerian Exchange Weekly Market Report For Week Ended September 30th, 2022
A total turnover of 1.005 billion shares worth N10.406 billion in 17,844 deals was traded this week by investors on the floor of the Exchange, in contrast to a total of 562.856 million shares valued at N9.438 billion that exchanged hands last week in 16,013 deals.
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Date 30/09/2022
MIAX Options And Pearl Options Exchanges - October 1, 2022 Fee Changes
Effective October 1, 2022, MIAX Options and MIAX Pearl Options will amend certain transaction fees.
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Date 30/09/2022
BOX Options Market Fee Change – October 2022
Effective October 3, 2022, BOX Options Market LLC (“BOX”) is making the following changes to the BOX Fee Schedule:
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Date 30/09/2022
The EBA Publishes Its Report On The First Mandatory Exercise On Basel III Full Implementation Impact
The European Banking Authority (EBA) today published its first mandatory Basel III Monitoring Report which assesses the impact that Basel III full implementation will have on EU banks in 2028. According to this assessment, which uses a significantly larger sample than in previous years and applies the same methodology as the Basel Committee on Banking Supervision (BCBS), the full Basel III implementation would result in an average increase of 15.0% of the current Tier 1 minimum required capital of EU banks. To comply with the new framework, EU banks would need EUR 1.2 billion of additional Tier 1 capital. The overall impact includes the economic impact of the Covid-19 pandemic on participating banks that materialised up to December 2021, the reference date of this Report. The Report also includes a separate Annex on the impact of the EU Commission proposal for the EU implementation under the Capital Requirements Regulation (CRR3).
