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SEC Charges Mutual Fund Executives With Misleading Investors Regarding Investment Risks In Funds That Suffered $1 Billion Trading Loss

Date 27/05/2021

The Securities and Exchange Commission today filed a civil action alleging that investment advisers LJM Funds Management Ltd. and LJM Partners Ltd. and their portfolio managers, Anthony Caine and Anish Parvataneni, fraudulently misled investors and the board of directors of a fund they advised about LJM's risk management practices and the level of risk in LJM's portfolios. The SEC separately settled related charges with LJM's Chief Risk Officer, Arjuna Ariathurai.
CFTC Charges Chicago Commodity Pool Operators, Owner, And Former Chief Portfolio Manager With Fraud And Supervision Failures - Former Chief Risk Officer Settles Fraud Charge

Date 27/05/2021

The Commodity Futures Trading Commission today announced filing charges in federal court against Chicago commodity pool operators (CPOs) LJM Partners Ltd and LJM Funds Management Ltd, (collectively LJM), their Chairman, owner and registered associated person (AP) Anthony J. Caine of Colorado and Chief Portfolio Manager Anish Parvataneni of Illinois with commodity pool fraud and fraud in connection with options on futures contracts for false or misleading statements about worst-case losses, risk management, and LJM’s risk profile.
Remarks At The 40th Annual SEC Small Business Forum, Commissioner Caroline A. Crenshaw, May 27, 2021

Date 27/05/2021

Good afternoon! Thank you Martha [Miller] for the warm introduction. It is wonderful to be here. I have truly enjoyed hearing from all of the panelists over the last several days. And I am particularly interested in today’s discussion focused on smaller public companies.
Intercontinental Exchange Chairman & CEO Jeffrey C. Sprecher To Present At The Piper Sandler Global Exchange And Fintech Conference On June 10

Date 27/05/2021

Intercontinental Exchange, Inc. (NYSE: ICE), a leading global provider of data, technology and market infrastructure, announced today that Jeffrey C. Sprecher, Chairman and CEO, will present at the Piper Sandler Global Exchange and FinTech Conference. The presentation will take place on Thursday, June 10 at 10:00 a.m. ET. The presentation will be available live and in replay via webcast and can be accessed in the investor relations and media section of ICE’s website at http://ir.theice.com/.
CFTC Charges Chicago Commodity Pool Operators, Owner, And Former Chief Portfolio Manager With Fraud And Supervision Failures

Date 27/05/2021

The Commodity Futures Trading Commission today announced filing charges in federal court against Chicago commodity pool operators (CPOs) LJM Partners Ltd and LJM Funds Management Ltd, (collectively LJM), their Chairman, owner and registered associated person (AP) Anthony J. Caine of Colorado and Chief Portfolio Manager Anish Parvataneni of Illinois with commodity pool fraud and fraud in connection with options on futures contracts for false or misleading statements about worst-case losses, risk management, and LJM’s risk profile.

Canadian Securities Regulators Publish Final Rule For Non-GAAP And Other Financial Measures

Date 27/05/2021

The Canadian Securities Administrators (CSA) today published disclosure requirements for issuers that disclose non-GAAP (generally accepted accounting principles) and other financial measures on a voluntary basis. The rule improves the quality of information provided to investors for various financial measures that commonly lack standardized meaning.
FIA Supports China’s Historic Futures Law

Date 27/05/2021

FIA today submitted comments to China’s National People’s Congress in support of the new draft Futures Law, noting this historic milestone will help to develop a more robust and liquid futures market for both Chinese and international customers. For many years, FIA has advocated for the passing of a futures law in China as a vital step in the development and growth of China’s markets. These markets already rank among the largest in the world in terms of trading volume, but they lack certain legal standards that are critical for deeper institutional participation.
SEC Awards More Than $4 Million To Whistleblower

Date 27/05/2021

The Securities and Exchange Commission today announced an award of more than $4 million to a whistleblower who alerted SEC staff to certain violations, prompting the opening of an investigation. The whistleblower then provided substantial assistance by meeting with SEC staff, identifying key players, and providing additional helpful information and documents.
What Are Government Bond Yields Telling Us About The Economic Outlook? - Speech By Gertjan Vlieghe, Bank Of England, External Monetary Policy Committee Member Given At The University Of Bath

Date 27/05/2021

Gertjan Vlieghe talks about the rise in government bond yields. He says it is not due to rising inflation worries or high government debt. Instead the increase is almost entirely because of the improved economic outlook in the UK.
BIS: Cyber Resilience Practices - Executive Summary

Date 27/05/2021

The financial sector faces significant exposure to cyber risk given that it is information technology-intensive and highly interconnected through payment systems. Therefore, it is important for financial firms to strengthen their cyber resilience, which is defined by the Financial Stability Board (FSB) as "the ability of an organisation to continue to carry out its mission by anticipating and adapting to cyber threats and other relevant changes in the environment and by withstanding, containing and rapidly recovering from cyber incidents."