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SEC Charges Webcast Host For Role In Market Manipulation Scheme

Date 01/10/2021

The Securities and Exchange Commission yesterday announced charges against Mark Melnick, the host of a stock trading webcast, for spreading more than 100 false rumors about public companies in order to generate illicit profits. The SEC previously charged Barton Ross for his role in this scheme.
CFTC Commitments Of Traders Reports Update

Date 01/10/2021

The current reports for the week of September 28, 2021 are now available.
Office Of The Comptroller Of The Currency Releases CRA Evaluations For 14 National Banks And Federal Savings Associations

Date 01/10/2021

The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of September 1, 2021 through September 30, 2021. The list contains only national banks, federal savings associations, and insured federal branches of foreign banks that have received ratings. The possible ratings are outstanding, satisfactory, needs to improve, and substantial noncompliance.
ISDA Writes To EC On EMIR Article 13 Equivalence

Date 01/10/2021

On September 27, ISDA wrote to the European Commission (EC), asking it to address the conditions in Article 13 of the European Market Infrastructure Regulation (EMIR) and related equivalence decisions that make it difficult for EU firms to avoid duplicative and conflicting rules, including for the purpose of compliance with phases five and six of initial margin requirements for non-cleared trades.
David Miller & Jose Luis Pacheco Win CalPERS Board Seats - Member-At-Large Seats Represent Actives And Retirees

Date 01/10/2021

David Miller and Jose Luis Pacheco are declared the unofficial election winners for the two Member-at-Large seats on the CalPERS Board of Administration.

SIFMA Response To SEC Request For Comment On Digital Engagement Practices

Date 01/10/2021

SIFMA today submitted a letter to the U.S. Securities and Exchange Commission (SEC) in response to the SEC’s ‘Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice.’
Moscow Exchange: Risk Parameters Change For The Security CF-RM

Date 01/10/2021

As per the Securities market risk parameters methodology, on 01.10.2021, 22-17 (MSK) the upper bound of the price band (up to 4710) and initial margins (up to 23.75 %) for the security CF-RM were changed. New values are available here
Ontario Securities Commission Announces Small Business Advisory Committee Members

Date 01/10/2021

The Ontario Securities Commission (OSC) announced today the new membership of its Small Business Advisory Committee (SBAC).
Nadex Temporarily Amends Binary Contracts Strike Width

Date 01/10/2021

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”) hereby provides notice that due to increased or decreased volatility, as the case may be, in the underlying markets upon which the Nadex contracts are based, Nadex made changes to the strike widths of various contracts during the week of September 27, 2021 as indicated in the Weekly Notice.
NGX Reiterates Commitment To Democratize Finance In Nigeria Through Technology

Date 01/10/2021

Nigerian Exchange (NGX) Limited brought together a caste of leading industry experts to dimension the digital transformation of the financial services space with a keen focus on the Nigerian capital market at its inaugural NGX TechNovation Conference. The virtual event with the theme, Technology, Platforms and Markets held on Thursday, 30 September 2021 and featured critical discussions around technology, partnerships and innovation that can boost the advancement of the Nigerian economy.