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SEC Charges Seven California Residents In Insider Trading Ring - Three Tech Company Employees Along With Family And Friends Charged In $1 Million Scheme

Date 28/03/2022

The Securities and Exchange Commission today announced insider trading charges against three software engineers employed at Twilio, Inc., a San Francisco-based cloud computing communications company, and four family members and friends for allegedly generating more than $1 million in collective profits by insider trading ahead of the company’s positive first quarter 2020 earnings announcement on May 6, 2020.
CFTC Swaps Report Update

Date 28/03/2022

CFTC's Weekly Swaps Report has been updated, and is now available.
Expanded Opening And Intra-Day Quote Width Requirements And MIAX Order Monitor Settings For Certain Symbols Trading On MIAX Options And MIAX Emerald Through Thursday, June 30, 2022

Date 28/03/2022

MIAX Options and MIAX Emerald have expanded the maximum valid bid/ask differential for Market Makers for certain symbols traded on the Exchanges. The expanded bid/ask differentials will be in effect through Thursday, June 30, 2022.
Remarks At The ICI Investment Management Conference, William Birdthistle, Director, SEC Division Of Investment Management, Washington D.C., March 28, 2022

Date 28/03/2022

Good morning. Thank you, Eric, for your kind introduction. I appreciate the ICI’s invitation and I hope – if you decide ever to renew it – that I’ll be able to join you all in person someday.
EDHECinfra: How Much Do Investors In Russian Airports Stand To Lose?

Date 28/03/2022

International sanctions have to date had little impact on the value of Russian airports, but their apparent resilience may not last. Large losses are to be expected if the crisis continues.

CFTC Awards Approximately $625,000 To Four Whistleblowers

Date 28/03/2022

The Commodity Futures Trading Commission today announced a whistleblower award of approximately $625,000 to four whistleblowers. This award recognizes the contributions of each of them, three of whom provided support to the CFTC jointly. One of the whistleblowers received a higher award percentage to recognize that he or she provided the highest level of ongoing assistance and cooperation to the Division of Enforcement.
ESMA: Actively Managed Funds Fail To Outperform Benchmarks During Market Stress

Date 28/03/2022

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, is publishing the outcome of a study analysing the performance of actively managed equity UCITS relative to their prospectus and market benchmark indices, between 19 February 2020 and the end of June 2020.
ISDA Responds To ESAP Proposal Consultation

Date 28/03/2022

On March 28, ISDA and the Global Foreign Exchange Division submitted a joint response to the European Commission’s (EC) Better Regulation consultation on its proposal for the establishment of a European Single Access Point (ESAP).
Statement On Proposal To Further Define “As A Part Of A Regular Business” In The Definition Of Dealer And Government Securities Dealer, SEC Commissioner Hester M. Peirce, March 28, 2022

Date 28/03/2022

The Exchange Act defines “dealer” broadly to encompass any person that is “engaged in the business of buying and selling securities . . . for [its] own account,” unless it is not doing so as “part of a regular business.”[1] Drawing the line between dealers and other active participants in our markets has long been challenging, and those challenges have only increased as our markets have evolved over the decades. Today’s proposal seeks to bring some clarity to how this definition applies in markets where some of the key providers of liquidity are not registered as dealers and may not be subject to any Commission registration framework. It would do this by establishing a qualitative test and, solely for the government securities market, a quantitative trading threshold to determine whether such firms should be required to register as dealers.
Readout: US Secretary Of The Treasury Janet L. Yellen’s Meeting With Prime Minister Of Singapore Lee Hsien Loong

Date 28/03/2022

Today, U.S. Secretary of the Treasury Janet L. Yellen met with Prime Minister of Singapore Lee Hsien Loong to discuss the U.S.-Singapore bilateral relationship, U.S. economic engagement in the Indo-Pacific, and the outlook for the global economy. Secretary Yellen welcomed cooperation with Singapore on areas of mutual interest, particularly in combating the existential threat of climate change. Secretary Yellen affirmed the United States’ support for Ukraine’s sovereignty and underscored the importance of the international community holding Russia accountable for its unprovoked and illegal invasion of Ukraine, including through the implementation of targeted financial sanctions.