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Statement Of CFTC Chairman Heath P. Tarbert In Support Of Final Rule On Swap Execution Facilities

Date 18/11/2020

I am pleased to support today’s final rule amending Part 36 and Part 37 of the CFTC’s regulations relating to swaps. These amendments codify staff no-action letters in two areas: (1) package transactions and (2) error trades.
New Zealand Financial Markets Authority: Rise In Scams Impersonating NZ Businesses During COVID-19

Date 18/11/2020

The Financial Markets Authority (FMA) has reported a steep rise in the number of investment scams attempting to impersonate legitimate New Zealand businesses since the emergence of COVID-19.
CFTC Unanimously Approves Final Rule Amending Swap Execution Facility Requirements

Date 18/11/2020

The Commodity Futures Trading Commission has unanimously approved a final rule amending certain parts of its regulations relating to the execution of “package transactions” on swap execution facilities (SEFs) and the resolution of error trades on SEFs. Both matters are currently the subject of relief in Commission staff no-action letters.
ASIC Consults On Reference Checking And Information Sharing Protocol

Date 18/11/2020

ASIC today released a consultation paper seeking feedback on a new reference checking and information sharing protocol for financial advisers and mortgage brokers.
CFTC Unanimously Approves Final Rule For Granting Exemptions From Derivatives Clearing Organization Registration

Date 18/11/2020

The Commodity Futures Trading Commission has unanimously approved a final rule establishing a framework for the Commission to grant an exemption from registration as a derivatives clearing organization (DCO) to a clearing organization organized outside of the U.S. for the purpose of clearing proprietary swap transactions for U.S. persons.

ISDA Statement On IBA And UK FCA Announcements On LIBOR Consultations

Date 18/11/2020

ISDA has published the following statement in response to today’s announcements by ICE Benchmark Administration (IBA), the administrator of LIBOR, and the UK Financial Conduct Authority (FCA).
CFTC Swaps Report Update

Date 18/11/2020

CFTC's Weekly Swaps Report has been updated, and is now available.
Moscow Exchange: Risk Parameters Change For The Security TSLA-RM

Date 18/11/2020

As per the Securities market risk parameters methodology, on 18.11.2020, 23-26 (MSK) the upper bound of the price band (up to 40190) and initial margins (up to 28.75 %) for the security TSLA-RM were changed. New values are available here
Canadian Securities Regulators Provide Guidance To Issuers On Reporting Impact Of COVID-19

Date 18/11/2020

The Canadian Securities Administrators (CSA) published its biennial report on its continuous disclosure review program. Due to the ongoing impact of the COVID-19 pandemic, the report also includes guidance for issuers on reporting the impact of COVID-19.
The Regulation Of Corporation Finance – A Principles-Based Approach, William Hinman, SEC Director, Division Of Corporation Finance, Nov. 18, 2020, Remarks Published In Connection With An Address At The PLI Directors’ Institute On Corporate Governance (Eighteenth Annual)

Date 18/11/2020

It is common to hear these days that the pace of change is ever-increasing. Whether or not that is true is open to debate, but recent events in the capital markets seem to provide some support for that idea. When I became Director of the Division of Corporation Finance in May 2017, I remarked to the staff that the securities laws are exciting and dynamic, in part because novel questions are always coming up. Over the years, the Division has been in a great position to experience the excitement that comes from unforeseen challenges and novel issues. If we have learned – better yet, been reminded of – one thing about the federal securities laws during this time, it is how resilient and adaptable they are.