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Security Traders Association Announces Winners Of 2021 STA Foundation Awards

Date 27/09/2021

Security Traders Association (STA) is pleased to today announce the recipients of the 2021 STA Foundation Awards. The annual STA Foundation Awards recognize individuals within the financial services industry who have made outstanding efforts in any of several areas, including stewardship and service, advocacy, philanthropy, and ethics.
Moscow Exchange: Risk Parameters Change For The Security SWN-RM

Date 27/09/2021

As per the Securities market risk parameters methodology, on 27.09.2021, 18-55 (MSK) the upper bound of the price band (up to 447) and initial margins (up to 43.75 %) for the security SWN-RM were changed. New values are available here
CFTC Orders Citibank And Citigroup Global Markets Limited To Pay A $1 Million Penalty For Swap Data Reporting Violations, Related Supervision Failures, And Violation Of A Prior CFTC Order

Date 27/09/2021

The Commodity Futures Trading Commission today filed and settled charges against Citibank, N.A. and Citigroup Global Markets Limited (collectively, Citi), two provisionally registered swap dealers, for failing to comply with certain swap dealer requirements for reporting Legal Entity Identifier (LEI) information to a swap data repository (SDR) and related supervision failures. The order also charges Citi for violating the cease and desist provision of a 2017 CFTC order relating to reporting and supervisory failures. [See CFTC Press Release No. 7616-17]
SEC Charges Florida Payday Lender And CEO With Affinity Fraud Targeting The Venezuelan-American Community

Date 27/09/2021

The Securities and Exchange Commission today announced charges against Sky Group USA LLC, a payday loan company based in Miami, and its CEO, Efrain Betancourt, Jr., for fraudulently raising at least $66 million through the sale of promissory notes to more than 500 retail investors, including members of the South Florida Venezuelan-American community.
Prioritising Operational Resilience Now Prerequisite For Firms’ Existence, Says Ex-FTSE COO

Date 27/09/2021

This Thursday marks 6 months until the FCA’s operational resilience requirements come into force for the UK’s financial services sector – just under two years since the parliamentary committee called on regulators to intervene following TSB’s IT meltdown. According to Guy Warren, CEO of ITRS Group and ex-COO of FTSE Group, if firms can’t afford to prioritise operational resilience, they can’t afford to be in business.

Prepared Remarks Before The Asset Management Advisory Committee, SEC Chair Gary Gensler, Sept. 27, 2021

Date 27/09/2021

Thank you, Ed [Bernard]. I’m glad to be with the Asset Management Advisory Committee again. I appreciate the members’ time and willingness to give us advice, and I look forward to hearing the readouts from today’s discussions. As is customary, I’d like to note I’m not speaking on behalf of the Commission or the SEC staff.
Moscow Exchange: Risk Parameters For New Shares

Date 27/09/2021

New shares will be accepted to margin trading starting from October 1, 2021. From this date on, risk parameters will be applied according to the table below.
SEC Charges Two Individuals For Wash Trading Scheme Involving Options Of "Meme Stocks"

Date 27/09/2021

The Securities and Exchange Commission today charged a Florida resident and his friend for engaging in a fraudulent scheme designed to collect liquidity rebates from exchanges by wash trading put options of certain "meme stocks" in early 2021.
Remarks Before The Small Business Capital Formation Advisory Committee Meeting, SEC Commissioner Elad L. Roisman, Sept. 27, 2021

Date 27/09/2021

Good morning and welcome. As is custom, I’ll start by saying: my remarks this morning are my own and do not necessarily reflect the views of the Commission or my fellow Commissioners. It’s also customary for Commissioners to say that they are looking forward to an advisory committee’s discussions, but I am especially looking forward to your discussions today. The topics you will be covering are crucial to our understanding of how smaller businesses are accessing capital, and I am particularly interested in hearing both your panelists and your discussion today.
Remarks At SEC Small Business Capital Formation Advisory Committee Meeting, SEC Commissioner Hester M. Peirce, Sept. 27, 2021

Date 27/09/2021

Thank you, Carla [Garrett] and thank you to the Committee members and today’s panelists. Welcome to Andrea [Seidt] to the Committee. I am particularly happy to have a fellow Ohioan involved. Thanks to Mike [Pieciak] for serving on the Committee. I am looking forward to today’s discussions on small business capital formation trends at this stage in the pandemic, and the changing dynamics of pre-IPO financing and going public. Two trends to be featured today – SPACs and the significant increase of institutional investor participation in late stage private capital raising rounds – demonstrate the hunger for growth opportunities in our markets. Making it possible for retail investors to get access to some of this early growth remains an important matter for the Commission’s consideration.