News Centre

ASIC: Industry Funding: 2021-22 Cost Recovery Implementation Statement

Date 21/10/2022

ASIC today published its 2021-22 Cost Recovery Implementation Statement (CRIS) as required under the industry funding model.

CFTC Orders Wisconsin Broker To Pay Over $750,000 For Improper Trade Allocation And Additional Violations

Date 20/10/2022

The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Prime Agricultural Investors, Inc. (Prime), an introducing broker based in Wisconsin, and Chad Henderson, a Principal and Associated Person of Prime, for violations of the Commodity Exchange Act (CEA) and CFTC regulations relating to improper allocation of customer trades.

ISDA derivatiViews: Working For A Positive Outcome On Euro Clearing

Date 20/10/2022

The European Commission (EC) is determined to increase the allure of clearing in the EU as it looks to reduce what it sees as an over-reliance on systemically important third-country central counterparties (CCPs). Making EU clearing more attractive is a principle we support, but it will require a multi-faceted strategy to achieve this – one we’ve set out in a new whitepaper published earlier this week.

Remarks At The APABA-DC Awards And Installation Reception, SEC Commissioner Mark T. Uyeda, Washington D.C., Oct. 19, 2022

Date 20/10/2022

Good evening and thank you for the invitation to be here.  Before I begin, I must remind you that my remarks reflect solely my individual views as a Commissioner and do not necessarily reflect the views of the full Commission or my fellow Commissioners.

CFTC Releases Annual Enforcement Results

Date 20/10/2022

The Commodity Futures Trading Commission today released the agency’s enforcement results for Fiscal Year 2022 that demonstrates its continued commitment to protecting customers and ensuring market integrity. In FY 2022, the CFTC obtained orders imposing over $2.5 billion in restitution, disgorgement and civil monetary penalties either through settlement or litigation. In the agency’s efforts to prevent fraud, manipulation, reporting, supervision and misconduct related to digital assets, the CFTC filed 82 enforcement actions and continued to devote significant resources to litigating complex cases and achieved several litigation successes during the fiscal year.

Welcoming Remarks, Federal Reserve Governor Michelle W. Bowman, At "Toward An Inclusive Recovery," A Research Seminar Sponsored By The Board Of Governors Of The Federal Reserve System, Washington, D.C. (Via Webcast)

Date 20/10/2022

Welcome, and thank you for joining us to discuss topics important to the nation's economy. This research seminar is part of the Federal Reserve's series of events called "Toward an Inclusive Recovery."

Quoted Companies Alliance Announces New Chair

Date 20/10/2022

Judith MacKenzie, Partner, Downing LLP, has taken over as Chair of the Quoted Companies Alliance (QCA) following its Annual General Meeting which took place on 20 October 2022.

ISDA: Climate Risk Scenario Analysis For The Trading Book

Date 20/10/2022

As climate-related events continue to occur with increasing frequency and severity, environmental risks need to be considered in the trading book given the value of financial instruments that may be affected by environmental factors.

CFTC Launches New Commitments Of Traders Reports - The New Environment Allows Users The Choice To Access Data With Enhanced Features Or Utilize The Traditional Format

Date 20/10/2022

The Commodity Futures Trading Commission today launched new features for the widely popular Commitments of Traders (COT) reports. These new features offer easy to locate historical data as part of a modernization initiative intended to improve data access. The traditional weekly report will still be available on the CFTC’s website. The new environment gives users the flexibility to access the COT reports in the traditional format they are familiar with or utilize new enhanced capabilities.  

BOX Options Market: Market Operations Center (“MOC”) Trade Execution Report And Standardization Of Rejects In FIX

Date 20/10/2022

BOX Options Market LLC (“BOX”) will introduce the following features on October 31st, 2022:

1. Dissemination of a FIX ‘8’ Execution Report message for a trade entered manually by the MOC 
2. Standardization of Complex Order-based and Complex Auction-based message rejects using the FIX ‘8’ (Execution Report)