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Hardware Malfunction Causes Worst-Ever Outage On Tokyo Stock Exchange

Date 01/10/2020

A hardware breakdown on the Tokyo Stock Exchange halted trading for the entire trading day in the worst-ever outage for the exchange.
New Zealand Council Of Financial Regulators: Updated Timetable Of Regulatory Initiatives

Date 01/10/2020

In April 2020, the Council of Financial Regulators published a table of deferred regulatory initiatives due to COVID-19. This has now been updated to guide financial services businesses on future initiatives.
Guidance On The Conduct Of General Meetings Amid Evolving COVID-19 Situation - Joint Statement By Accounting And Corporate Regulatory Authority, Monetary Authority Of Singapore And Singapore Exchange Regulation

Date 01/10/2020

The Accounting and Corporate Regulatory Authority (“ACRA”), the Monetary Authority of Singapore (“MAS”) and Singapore Exchange Regulation (“SGX RegCo”) have updated a checklist to guide listed and non-listed entities[1] on the conduct of general meetings (“Checklist”) arising from the latest updates from the Multi-Ministry Taskforce to ease safe management measures to facilitate business operations.
New Zealand Financial Markets Authority: Contributions Help KiwiSaver Continue To Grow Through COVID-19

Date 01/10/2020

KiwiSaver has continued to grow despite market volatility and economic uncertainty caused by COVID-19 , according to the Financial Markets Authority’s (FMA) KiwiSaver Annual Report for the year ended March 2020.
ASIC And Reserve Bank Of Australia Announce Expectations For CHESS Replacement

Date 01/10/2020

ASIC and the Reserve Bank of Australia (RBA) (the regulators) have outlined their expectations of ASX as it replaces the Clearing House Electronic Sub-register System (CHESS). This follows the release today of the RBA’s 2020 Assessment of ASX Clearing and Settlement Facilities.

CFTC Orders Morgan Stanley Capital Services LLC To Pay $5 Million For Swap Data Reporting Failures

Date 30/09/2020

The Commodity Futures Trading Commission today announced that it has filed and settled charges against Morgan Stanley Capital Services LLC, a provisionally registered swap dealer, for failing to comply with swap data reporting obligations.
CFTC Orders Chicago Broker To Pay Over $495,000 For Supervision Failures And Failure To Report Suspicious Activity

Date 30/09/2020

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against A&A Trading, Inc., a registered introducing broker located in Chicago, Illinois, for failing to file a suspicious activity report (SAR) and to diligently supervise its employees’ handling of certain customer accounts. The order requires A&A Trading to pay a civil monetary penalty of $400,000 and to disgorge $95,329 earned in connection with its violations. This action was brought in connection with the Division of Enforcement’s Bank Secrecy Act Task Force.
Ontario Securities Commission Requests New Members For The Registrant Advisory Committee

Date 30/09/2020

The Ontario Securities Commission (OSC) is seeking applicants for membership on its Registrant Advisory Committee (RAC).
Supporting Statement Of Commissioner Dan M. Berkovitz Regarding Sunoco Enforcement Action And Opposing “Bad Actor” Waiver

Date 30/09/2020

I support the Commission’s enforcement against Sunoco LP for the spoofing of the crude oil, gasoline, and heating oil futures markets. However, I oppose the CFTC’s determination that Sunoco’s conduct should not result in any disqualifications under the “bad actor” provisions of the securities laws. The CFTC has neither the authority to make this determination, nor the tools to adequately protect investors in the securities markets.
CFTC Orders Sunoco To Pay $450,000 For Spoofing In Crude Oil, Gasoline, And Heating Oil Futures Contracts

Date 30/09/2020

The Commodity Futures Trading Commission today issued an order filing and settling charges against Sunoco LP, a master limited partnership organized in Delaware and headquartered in Dallas, Texas, for spoofing—bidding or offering with the intent to cancel the bid or offer before execution.