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Canadian Securities Regulators Initiate Review Of The Distribution Of Mutual Fund Securities Through A Principal Distributor

Date 22/09/2022

The Canadian Securities Administrators (CSA) is reviewing the practices of mutual funds that have principal distributor relationships with registrants to distribute their securities. This is in alignment with the CSA’s 2022-2025 CSA Business Plan, which includes assessing whether additional mutual fund sales practice rule modernization is needed to improve investor protection and maintain investor confidence in our capital markets.
CFTC Charges Five Entities For Failing To Register As FCMs

Date 22/09/2022

The Commodity Futures Trading Commission today announced it has filed charges against five entities for operating as unregistered futures commission merchants (FCM). The entities, which claim to be based in either New York, N.Y. or at the same street address in Los Angeles, California, are Cryptostockoptionstrade Ltd, Global Smart Option Broker Ltd, Hypertradingoption Ltd, Stockbrokertechniques Ltd., and SprintTrade. Each complaint seeks an order directing the respondent to cease and desist from committing violations of the Commodity Exchange Act (CEA) and CFTC regulations.
Remarks By US Under Secretary For Domestic Finance Nellie Liang At The Securities Industry And Financial Markets Association’s Prudential And Capital Board Subcommittee

Date 22/09/2022

Let me begin by thanking SIFMA for inviting me to speak at today’s meeting. In my remarks, I will focus on the progress made by the official sector towards enhancing the resilience of the Treasury market.
CFTC Orders Two California Precious Metals Companies To Pay Over $1 Million For Fraud, Illegal Offering Of Retail Commodity Transactions, And Registration Violations

Date 22/09/2022

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Goldline, Inc. (Goldline) and A-Mark Precious Metals, Inc. (A-Mark), both California companies, for fraud in connection with off-exchange retail commodity transactions; failing to register as a Futures Commission Merchant (FCM); and engaging in illegal off-exchange retail commodity transactions. The order requires Goldline and A-Mark to disgorge $627,801.78; pay, jointly and severally, a $450,000 civil monetary penalty; and to cease and desist from further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged.
Nasdaq To Hold Third Quarter 2022 Investor Conference Call

Date 22/09/2022

Nasdaq (Nasdaq: NDAQ) has scheduled its Third Quarter 2022 financial results announcement.

ESMA Consults On CCP Business Reorganisation Plans

Date 22/09/2022

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, today published a consultation paper seeking views on proposed rules for Central Counterparties’ (CCPs) business reorganisation plans. The proposed rules are part of the CCPs resolution regime under the CCPRRR.
Office Of Financial Research Updates Research On Banks’ Counterparty Choices

Date 22/09/2022

Today, the OFR updated a working paper examining whether banks’ counterparty choices in over-the-counter derivative markets contribute to network fragility. The authors found that banks have a greater propensity to choose densely connected nonbank counterparties, particularly riskier ones, suggesting the existence of “moral hazard behavior” in network formations. Finally, the working paper shows how these exposures are correlated with systemic risk measures despite greater regulatory oversight after the 2008 financial crisis.
EEX Group And IncubEx Extend Cooperation To Further Develop Global Environmental Markets

Date 22/09/2022

EEX Group and IncubEx announced today a new cooperation agreement, extending their collaboration to grow and expand listed environmental markets on EEX and Nodal Exchange.
Drawbridge Wins ‘Best Cyber-Security Service’ At The 2022 With Intelligence HFM US Services Awards

Date 22/09/2022

Drawbridge, a premier provider of cybersecurity software and solutions to the alternative investment industry, today announced it has been selected as ‘Best Cyber-Security Service’ at the With Intelligence HFM US Services Awards 2022.
Exchange Of Letters Between The Governor Of The Bank Of England And The UK Chancellor Regarding CPI Inflation - September 2022

Date 22/09/2022

If inflation moves away from the target by more than 1 percentage point in either direction, the Governor is required to send an open letter to the Chancellor explaining why inflation has moved away from target and what action the Bank is taking to bring inflation back to target.