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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.
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.