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SEC Charges Amazon Finance Manager And Family With Insider Trading

Date 28/09/2020

The Securities and Exchange Commission today charged a former finance manager at Amazon.com Inc. and two family members with insider trading in advance of Amazon earnings announcements between January 2016 and July 2018.
CFTC Charges Georgia Man With Fraudulent Scheme To Profit From COVID-19 - Second CFTC Enforcement Action Targeting Misconduct Directly Tied To COVID-19

Date 28/09/2020

The Commodity Futures Trading Commission today announced that it has filed a complaint in the U.S. District Court for the Northern District of Texas against Kenzley Ramos, a Georgia resident, charging him with fraudulent solicitation, misappropriation, operation of an unlawful commodity pool, and failure to register with the CFTC.
Statement On Measures To Enhance The Fixed Income Markets, SEC Commissioner Elad L. Roisman, Sept. 28, 2020

Date 28/09/2020

Today, the Commission took steps toward optimizing the oversight of our fixed income markets by proposing to broaden the application of Regulation ATS and Regulation SCI to alternative trading systems that trade U.S. government securities (“Government Securities ATSs”). In addition, the Commission issued an important concept release seeking feedback on the regulatory approach to electronic trading platforms for corporate bonds and municipal securities.
UK Financial Conduct Authority: Konstantin Vishnyak Found Not Guilty For Destroying Documents

Date 28/09/2020

In a case brought by the Financial Conduct Authority (FCA), Konstantin Vishnyak has been found not guilty at Southwark Crown Court of one count of destroying documents in September 2018.
CFTC Orders Three Citibank Affiliates To Pay $4.5 Million For Supervision Failures That Led To Deletion Of Subpoenaed Audio Recordings

Date 28/09/2020

The Commodity Futures Trading Commission today announced it has issued an order filing and simultaneously settling charges against Citibank N.A. and Citigroup Energy Inc., both provisionally registered swap dealers, and Citigroup Global Markets, Inc., a provisionally registered swap dealer and a registered futures commission merchant (collectively, Citi entities), for failing to diligently supervise their audio preservation system.

SEC Proposes Rules To Extend Regulations ATS And SCI To Treasuries And Other Government Securities Markets - Proposed Rules Would Enhance Operational Transparency And System Integrity For Government Securities Alternative Trading Systems; Agency Also Issues A Concept Release On Electronic Fixed Income Trading Platforms

Date 28/09/2020

The Securities and Exchange Commission today announced a proposal to enhance the operational transparency, system integrity, and regulatory oversight for alternative trading systems (ATSs) that trade government securities as well as repurchase and reverse repurchase agreements on government securities (Government Securities ATSs) and issued a concept release soliciting public comment on the regulatory framework for electronic platforms that trade corporate debt and municipal securities.
Moscow Exchange: Risk Parameters Change For The Security XOM-RM

Date 28/09/2020

As per the Securities market risk parameters methodology, on 28.09.2020, 19-26 (MSK) the upper bound of the price band (up to 2958) and initial margins (up to 17.5 %) for the security XOM-RM were changed. New values are available here
Market Monitoring Report: ACER And CEER Invite You To Join Their 28th October Webinar Presenting The Key Findings

Date 28/09/2020

The European Union Agency for the Cooperation of Energy Regulators (ACER) and the Council of European Energy Regulators (CEER) invite you to register for a joint webinar on 28 October to present the key findings of their latest Annual Report on the results of monitoring the internal electricity and gas markets (the Market Monitoring Report- MMR).The webinar will take place between 10.30 and 11.45 CET.
The American Financial Exchange And The University Of Chicago Law School To Host Webinar, “The Role Of Regional, Mid-Sized And Community Banks In The Economy And Job Creation” Featuring Brian Brooks, Acting Comptroller, OCC

Date 28/09/2020

Following the continued success of our virtual speaker series we are honored to co-host a webinar with the University of Chicago Law School on October 5 at 3 PM CT/4 PM ET featuring the Brian Brooks, Acting Comptroller of the Currency, Office of the Comptroller of the Currency (OCC). Mr. Brooks is the administrator of the federal banking system and chief officer of the OCC and will be speaking on “The Role of Regional, Mid-Sized and Community Banks in the Economy and Job Creation”.
CFTC Charges Foreign Trading Platform With Offering Illegal Leveraged Transactions In Ether, Litecoin, And Bitcoin

Date 28/09/2020

The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Southern District of Texas against Laino Group Limited d/b/a PaxForex, a company registered in St. Vincent and the Grenadines. The CFTC’s complaint charges the defendant with engaging in unlawful retail commodity transactions and failing to register as a futures commission merchant (FCM).