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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.
Ontario Securities Commission Hosts Free Informative Events For Investor Education Month

Date 29/09/2021

The Ontario Securities Commission (OSC) today announced several investor education and outreach events to help people make informed financial decisions as part of its Investor Education Month activities in October.
CFTC Staff Issues Advisory To Clarify Activities That May Trigger The SEF Registration Requirement

Date 29/09/2021

The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) today issued a staff advisory clarifying certain trading activities may trigger compliance with the swap execution facility (SEF) registration requirement in the Commodity Exchange Act (CEA) and CFTC regulations.
CFTC Orders Société Générale S.A. To Pay $1.5 Million For Mid-Market Mark, Swap Valuation Data And Supervision Failures

Date 29/09/2021

The Commodity Futures Trading Commission today filed and settled charges against Société Générale S.A., a provisionally registered swap dealer, for failing to comply with certain swap dealer requirements for disclosing mid-market marks to counterparties, reporting inaccurate swap valuation data to a swaps data repository (SDR), and related supervision failures.

Readout: US Secretary Of The Treasury Janet L. Yellen’s Virtual Meeting With G7 Finance Ministers

Date 29/09/2021

Earlier today, U.S. Secretary of the Treasury Janet L. Yellen participated in a productive virtual meeting with her G7 finance minister counterparts to convene on the ongoing efforts to improve the international tax system to make it equitable and equipped to meet the needs of the 21st century global economy. A common understanding was reached on some of the important open issues, to support reaching final political agreement within the OECD Inclusive Framework in October. At the meeting, Secretary Yellen reiterated the importance of reshaping the global tax rules to ensure that profitable corporations pay their fair share and provide governments with the resources to invest in their people and economies.
Statement On N-PX Proposal, SEC Commissioner Caroline A. Crenshaw, Sept. 29, 2021

Date 29/09/2021

Each year, shareholders of corporations are asked to vote on a variety of matters that can influence consequential corporate decisions, including, for example, votes on board composition or executive compensation. Some of the largest shareholders with the most influence over voting are registered investment companies (“funds”), including mutual funds and ETFs. Almost half of U.S. households invest their savings in these funds. Investors rely on these funds not only to help them save, but also to vote on those consequential corporate decisions. Given the enormous responsibility funds have undertaken on behalf of investors, investors should be able to understand how their money is being voted. Yet, this information is not easily accessible to them.
CFTC Orders California Company To Pay $100,000 For Failing To Register As A Swap Execution Facility

Date 29/09/2021

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Symphony Communication Services, LLC for failing to register as a swap execution facility (SEF). The order requires Symphony to pay a $100,000 civil monetary penalty and to cease and desist from any further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged.
Prepared Remarks Before The Future Of Asset Management North America Conference, SEC Chair Gary Gensler, Washington D.C., Sept. 29, 2021

Date 29/09/2021

I’d like to thank the Financial Times for putting on this event and inviting me today. As is customary, I will note my views are my own, and I’m not speaking on behalf of the Commission or the SEC staff.
CFTC Charges 14 Entities For Failing To Register As FCMs Or Falsely Claiming To Be Registered

Date 29/09/2021

The Commodity Futures Trading Commission today filed charges against 14 entities for either failing to register as futures commission merchants (FCMs) or else making false and misleading claims of having CFTC registration and National Futures Association (NFA) membership. Each complaint seeks orders directing the entities to cease and desist from committing violations of the Commodity Exchange Act and CFTC regulations as charged.