News Centre

Ontario Securities Commission Announces New Commissioner Appointments

Date 19/01/2022

Ontario Securities Commission (OSC) Chair and CEO Grant Vingoe today announced the following appointments to the Commission. These Commissioners will each serve a two-year term, effective January 13, 2022.

LiquidityBook Hires James Baxter As Head Of Global Buy-Side Sales

Date 19/01/2022

LiquidityBook, a leading provider of cloud-native buy- and sell-side trading solutions, today announced the hire of James Baxter as Head of Global Buy-Side Sales. In this role, Mr. Baxter will be responsible for generating sales within the firm’s buy-side vertical. He will be based in LiquidityBook’s New York office and report directly to CEO Kevin Samuel.  

New Zealand Reserve Bank And New Zealand Financial Markets Authority Finalise Financial Market Infrastructure Regulatory Framework

Date 19/01/2022

The Reserve Bank of New Zealand – Te Pūtea Matua and the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko have released their finalised framework for assessing the systemic importance of Financial Market Infrastructures (FMIs) following consultation with industry and stakeholders.

CFTC: Federal Court Orders Kentucky Resident To Pay $17 Million For Defrauding Commodity Futures Clients

Date 19/01/2022

The Commodity Futures Trading Commission today announced that the U.S. District Court for the Eastern District of Kentucky entered a consent order for permanent injunction, restitution, and disgorgement against William S. Evans III (d/b/a Turning Point Investments) of Harrodsburg, Kentucky, and Evans’ wife, Frances Evans. The court imposed almost $17 million in relief for defendant’s wrongdoing, including his misappropriation of client money intended for futures trading.

ISDA Responds To The DSB’s UPI Legal Terms And Conditions Consultation Paper

Date 19/01/2022

ISDA’s response to the DSB’s “Unique Product Identifier (UPI) Legal Terms and Conditions Consultation Paper” was submitted on 19 January 2022. This response reflects the input provided by member firms, primarily via the ISDA Reference Data and Workflow Working Group.

Moscow Exchange: Risk Parameters Change For The Security STT-RM

Date 19/01/2022

As per the Securities market risk parameters methodology, on 19.01.2022, 22-10 (MSK) the lower bound of the price band (up to 6763) and initial margins (up to 21.25 %) for the security STT-RM were changed. New values are available here

Canadian Securities Regulators Publish Guidance On ESG-Related Investment Fund Disclosure

Date 19/01/2022

The Canadian Securities Administrators (CSA) today published guidance for investment funds on their disclosure practices that relate to environmental, social and governance (ESG) considerations, particularly funds whose investment objectives reference ESG factors and other funds that use ESG strategies (ESG-Related Funds).

Moscow Exchange: Risk Parameters Changes For The Securities KLAC-RM And LRCX-RM

Date 19/01/2022

Please follow the links below to access the information:

Risk parameters change for the security KLAC-RM
Risk parameters change for the security LRCX-RM

Prepared Remarks: “Dynamic Regulation For A Dynamic Society” Before The Exchequer Club Of Washington, D.C., SEC Chair Gary Gensler, Washington D.C., Jan. 19, 2022

Date 19/01/2022

Thank you for the kind introduction. As is customary, I’d like to note that my views are my own, and I’m not speaking on behalf of the Commission or SEC staff.

Moscow Exchange: Risk Parameters Change For The Security F-RM

Date 19/01/2022

As per the Securities market risk parameters methodology, on 19.01.2022, 19-21 (MSK) the lower bound of the price band (up to 1645) and initial margins (up to 21.25 %) for the security F-RM were changed. New values are available here