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  • TMX Group Limited Reports Results For Third Quarter Of 2021

    Date 08/11/2021

    TMX Group Limited [TSX:X] ("TMX Group") today announced results for the third quarter ended September 30, 2021.

  • ASIC: Former Quantum Resources Director Convicted Of Insider Trading And Market Manipulation Offences

    Date 08/11/2021

    Avrohom Mordechai Kimelman, of St Kilda East, Victoria, has been sentenced to 18-months imprisonment, to be released immediately upon entering into a $5000 recognizance and an undertaking to be of good behaviour for two years, after being convicted of insider trading and market manipulation offences in the County Court of Victoria.

  • SEC Charges Exchange-Traded Product And Its General Partner With Disclosure Failures

    Date 08/11/2021

    The Securities and Exchange Commission today charged United States Oil Fund LP, an exchange-traded product (ETP), and its general partner United States Commodity Funds LLC for misleading statements about limitations imposed by its sole futures commission merchant and broker. USO and USCF have agreed to pay $2.5 million in penalties to settle parallel cases by the SEC and Commodity Futures Trading Commission

  • CFTC Orders United States Commodity Funds LLC To Pay $2.5 Million For Failure To Fully Disclose Information Relating To Trading Limitations To Commodity Pool Participants

    Date 08/11/2021

    The Commodity Futures Trading Commission today simultaneously filed and settled charges against United States Commodity Funds LLC (U.S. Commodity Funds), a registered commodity pool operator (CPO), for failing to fully disclose certain position limits that its futures commission merchant imposed on one of the commodity pools it managed, United States Oil Fund, LP (USO).

  • Statement On Appointments To The PCAOB: SEC Commissioner Hester M. Peirce, SEC Commissioner Elad L. Roisman, Nov. 8, 2021

    Date 08/11/2021

    Today the Securities and Exchange Commission approved a new board of the Public Company Accounting Oversight Board.  We remain concerned about the Commission’s actions in June,[1] but nevertheless support this new board.  The five members are, as the statute requires, “prominent individuals of integrity and reputation who have a demonstrated commitment to the interests of investors and the public, and an understanding of the responsibilities for and nature of the financial disclosures required of issuers, brokers, and dealers under the securities laws and the obligations of accountants with respect to the preparation and issuance of audit reports with respect to such disclosures.”[2]  We look forward to working with the new board as they fulfill their mission to improve audit quality, which is crucial to the SEC’s own mission to protect investors and markets.