FTSE Mondo Visione Exchanges Index:
News Centre
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CFTC Orders The Bank Of New York Mellon To Pay $5 Million For Swap Reporting And Supervision Failures And Violation Of A Prior CFTC Order
Date 26/08/2024
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges with The Bank of New York Mellon (BNYM) for repeatedly failing to correctly report millions of swap transactions to a registered swap data repository, in violation of a prior CFTC order against BNYM, and for failing to properly supervise its swap dealer business as required by the Commodity Exchange Act (CEA) and CFTC regulations. [See CFTC Press Release Nos. 8033-19 and 8042-19] The order imposes a $5 million civil monetary penalty and incorporates BNYM’s decision to retain an independent compliance consultant to review and provide advice regarding its compliance program.
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SEC Charges Sound Point Capital Management For Insider Trading Policy Failures - Fund Adviser’s Policies Failed To Consider Potential Impact Of Material Nonpublic Information Gained From Role As Company Lenders
Date 26/08/2024
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Sound Point Capital Management LP for failing to establish, maintain, and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic information (MNPI) concerning its trading of collateralized loan obligations (CLOs). To settle the SEC’s charges, Sound Point agreed to pay a $1.8 million civil penalty.
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SEC: Market Structure Updated Metrics
Date 26/08/2024
SEC Staff is pleased to provide you with the following updates:
- Updated Metrics. Data series containing daily cancel-to-trade ratios, trade-order volumes, hidden rates, and odd-lot rate metrics for Q2 2024 are now available. This data extends to 150 total months the data series you can view in the data visualization tool as well as download in CSV format. The visualization for quote-life data now defaults to Q2 2024.
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CFTC Orders Wisconsin Man To Pay Civil Monetary Penalty For Acting As An Unregistered Commodity Trading Advisor
Date 26/08/2024
The Commodity Futures Trading Commission today announced it entered an order requiring Mark Hendershott, located in Wisconsin, to pay a $75,000 civil monetary penalty for acting as an unregistered commodity trading advisor (CTA).
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SEC Charges Abra With Unregistered Offers And Sales Of Crypto Asset Securities - Abra Also Allegedly Operated As An Unregistered Investment Company
Date 26/08/2024
The Securities and Exchange Commission today filed settled charges against Plutus Lending LLC, which does business as Abra, for failing to register the offers and sales of its retail crypto asset lending product, Abra Earn. The SEC also charged Abra with operating as an unregistered investment company.
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SEC Issues $24 Million Awards To Two Whistleblowers
Date 26/08/2024
The Securities and Exchange Commission today announced awards of more than $24 million to two whistleblowers whose information and assistance led to an SEC enforcement action and an action brought by another agency.
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CME Group Opens Registration For Its 21st Annual Global University Trading Challenge
Date 26/08/2024
CME Group, the world's leading derivatives marketplace, today announced that registration is now open for the 21st annual CME Group University Trading Challenge, which will be held from
Sunday, October 6, 2024 throughThursday, October 31, 2024 . Interested students can register no later than2 p.m. CT onTuesday, October 2 , where they can also familiarize themselves with the challenge rules and gain additional market knowledge through the wide range of resources available. -
MIAX Exchange Group - Holiday Schedule - Labor Day 2024
Date 26/08/2024
Please be advised the MIAX Options Exchange, MIAX Pearl Options Exchange, MIAX Emerald Options Exchange, MIAX Sapphire Options Exchange and MIAX Pearl Equities Exchange will be closed on Monday, September 2, 2024, in observance of Labor Day.
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Rhoda Weeks-Brown To Retire As IMF General Counsel And Director Of The Legal Department
Date 26/08/2024
Kristalina Georgieva, Managing Director of the International Monetary Fund (IMF), announced today that Rhoda Weeks-Brown intends to retire as General Counsel and Director of the Legal Department on September 30, 2024.
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IMF Managing Director Kristalina Georgieva Proposes Appointment Of Mr. Nigel Clarke As Deputy Managing Director
Date 26/08/2024
Kristalina Georgieva, Managing Director of the International Monetary Fund (IMF), announced today to the Executive Board her proposal to appoint Mr. Nigel Clarke to the position of Deputy Managing Director, effective October 31, 2024. He will succeed Ms. Antoinette Sayeh, who, as previously announced, steps down on September 12.
