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Shanghai Stock Exchange Holds 2021 Forum For Equity Investment Institutions

Date 30/09/2021

Representatives of 43 equity investment institutions and 17 securities companies attended the 2021 Forum for Equity Investment Institutions held recently by the Shanghai Stock Exchange (SSE). Also present at the forum were officials in charge of relevant business at the Department of Public Offering Supervision of the China Securities Regulatory Commission (CSRC) and the Asset Management Association of China.
Montréal Exchange Interest Rate Derivative Market Closed On September 30, 2021

Date 30/09/2021

The interest rate derivative market is closed today, September 30, 2021.
ISDA Submits Letter To FASB On Future Agenda

Date 29/09/2021

On September 22, 2021, ISDA submitted a letter to the Financial Accounting Standards Board (FASB) in response to its agenda consultation. ISDA’s members welcome the opportunity to assist the FASB in deciding where to focus its standard-setting efforts and believe there are a number of pervasive issues that have arisen in recent years due to changes in the market that were not originally contemplated when developing US Generally Accepted Accounting Principles. ISDA has also submitted several agenda requests in recent years, which are referenced in the responses to the questions and included as appendices to this letter.
New Zealand Financial Markets Authority Steps Up Enforcement Of Anti-Money Laundering Breaches

Date 29/09/2021

The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has escalated its enforcement approach to non-compliance with New Zealand’s anti-money laundering and countering financing of terrorism (AML/CFT) rules, according to a new report.
CFTC’s Division Of Market Oversight Director, Dorothy DeWitt, To Depart Agency - Acting Chairman Rostin Behnam Names Acting Director

Date 29/09/2021

The Commodity Futures Trading Commission announced that Division of Market Oversight (DMO) Director Dorothy DeWitt will step down from her role as Director today. Ms. DeWitt has led DMO since joining the agency in September 2019.

SEC Charges Investment Bank Compliance Analyst With Insider Trading In Parents’ Accounts And Obtains Asset Freeze

Date 29/09/2021

The Securities and Exchange Commission today charged Jose Luis Casero Sanchez, a Spanish national and former Senior Compliance Analyst who worked in the Warsaw, Poland office of an international investment bank, with insider trading in advance of at least 45 corporate events involving the investment bank’s clients. The SEC has obtained an emergency court order to freeze Sanchez’s assets, including certain accounts he used to place the illicit trades.
Coinjar Secures Financial Conduct Authority Registration - One Of The First Uk Exchanges To Be Registered As A Cryptoasset Company With The FCA

Date 29/09/2021

One of the world’s longest-running cryptocurrency exchanges, CoinJar UK Limited has been officially registered by the Financial Conduct Authority (FCA) as a Cryptoasset Exchange Provider and Custodian Wallet Provider.
Votes For CalPERS Board Election Counted On Friday

Date 29/09/2021

All voted ballots will be tabulated on Friday, October 1, for the Member-at-Large seats on the CalPERS Board of Administration.
CFTC Charges Unregistered Commodity Trading Advisor, Its Manager And A Managed Fund With Misappropriation And Fraud

Date 29/09/2021

The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the District of New Jersey against defendants Tradewale LLC, of Illinois, and Tradewale Managed Fund, of the United Kingdom, (collectively, Tradewale), and Valdas Dapkus, also of Illinois, charging the defendants with misappropriation fraud and Tradewale with solicitation fraud for trading off-exchange retail foreign currency (forex) and acting as a Commodity Trading Advisor (CTA) without CFTC registration.
Statement On Enhanced Reporting Of Proxy Votes By Registered Management Investment Companies; Reporting Of Executive Compensation Votes By Institutional Investment Managers, SEC Commissioner Hester M. Peirce, Sept. 29, 2021

Date 29/09/2021

I want to offer my thanks to the staff of the Divisions of Investment Management and Economic and Risk Analysis and the Office of the General Counsel. I enjoyed our discussion about the proposal before us today and your thoughtful consideration of my comments. I know how much work goes into a proposal like this one, which makes it all the more difficult that I cannot support it.