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SEC Division Of Examinations Announces 2022 Examination Priorities - Enhances Focus On Private Funds, ESG, And Operational Resiliency

Date 30/03/2022

The Securities and Exchange Commission’s Division of Examinations today announced its 2022 examination priorities, including several significant areas of focus and many perennial risk areas. The Division will focus on private funds, environmental, social and governance (ESG) investing, retail investor protections, information security and operational resiliency, emerging technologies, and crypto-assets. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets.
CFTC Issues Order Of Registration To FEX Global Pty Ltd To Permit Trading By Direct Access From The U.S.

Date 30/03/2022

The Commodity Futures Trading Commission today announced that it has issued an Order of Registration to FEX Global Pty Ltd (FGL), a Sydney, Australia-based Foreign Board of Trade (FBOT) licensed to operate markets in energy, commodity, and environmental derivative products.
Trading Schedule Of Moscow Exchange Markets On 31 March

Date 30/03/2022

On 31 March 2022, the Moscow Exchange markets will operate as follows as decided by the Bank of Russia.
CFTC Approves Application Of KOR Reporting Inc. For Provisional Registration As A Swap Data Repository

Date 30/03/2022

The Commodity Futures Trading Commission today approved the application of KOR Reporting Inc. (KOR) for provisional registration as a swap data repository (SDR) pursuant to section 21 of the Commodity Exchange Act and section 49.3(b) of the CFTC’s regulations.
SIFMA Testimony At House Subcommittee Hearing Urges Exchange Reform

Date 30/03/2022

In testimony delivered today, Ellen Greene, SIFMA managing director, equity and options market structure, outlined the ways in which existing federal securities laws advantage exchanges but harms investors, and outlined SIFMA’s suggested reforms to better protect investors.

Alberta Securities Commission Launches Interactive Spoof Website To Educate Albertans About Imitated Investment Firms

Date 30/03/2022

In recognition of Fraud Prevention Month, the Alberta Securities Commission (ASC) launched a multi-media campaign to raise awareness of spoofed and cloned websites of legitimate registered investment firms. The campaign features an interactive spoof website that highlights several tell-tale signs of fraud in an easy-to-navigate educational manner.
Statement From CryptoUK On Financial Conduct Authority Crypto Company Deadline

Date 30/03/2022

Commenting on the Financial Conduct Authorities deadline for approval of crypto company operations, which expires on Thursday 31 March, Ian Taylor, Executive Director at CryptoUK, the UK's independent crypto industry association, said: “The FCA has stated that it is given the 12 crypto firms still awaiting approval a period of time to either withdraw or appeal the FCA decision that they had not met the required standards.
Statement On The SPACs Proposal, SEC Commissioner Caroline A. Crenshaw, March 30, 2022

Date 30/03/2022

I’d like to thank the staff, my fellow Commissioners, and the Chair. The staff’s work is, as always, the reason we are here today and I am grateful for, and deeply rely, on their expertise, acumen, and dedication.
Nadex Product Schedule For The China Holidays The Week Of April 4, 2022

Date 30/03/2022

Due to the China holidays on Monday, April 4, 2022, and Tuesday, April 5, 2022, no China 50 contracts will be offered on these days. China 50 contracts will resume their regular listing schedule on trade date April 6, 2022.
Statement On The Proposal To Enhance Investor Protections in SPACs, SEC Commissioner Allison Herren Lee, Washington D.C., March 30, 2022

Date 30/03/2022

The last two years have seen an unprecedented surge in the use of special purpose acquisition vehicles (SPACs) as an alternative means of going public. Indeed the amount of capital raised by SPAC initial public offerings (IPOs) in 2021 was more than $160 billion, a fifteen fold increase over 2018.[1] The rise of SPACs, and the corresponding innovation around their use, raises specific investor protection concerns, especially for retail investors. Today the Commission responds to those concerns by proposing a package of amendments designed to promote transparency and accountability in the SPAC market.