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Connectivity NZX – Markets Resume Trading

Date 28/08/2020

Further to this morning's communication, NZX confirms that the NZX Main Board, NZX Debt Market and Fonterra Shareholders' Market will resume trading at 1:00pm this afternoon.
Connectivity NZX – Markets In Halt

Date 28/08/2020

NZX confirms that the NZX Main Board, NZX Debt Market and Fonterra Shareholders' Market are currently in a halt. This is as a result of network connectivity issues relating to DDoS cybersecurity attacks.
US Department Of Justice: United States Files Complaint To Forfeit 280 Cryptocurrency Accounts Tied To Hacks Of Two Exchanges By North Korean Actors

Date 27/08/2020

The Justice Department today filed a civil forfeiture complaint detailing two hacks of virtual currency exchanges by North Korean actors. These actors stole millions of dollars’ worth of cryptocurrency and ultimately laundered the funds through Chinese over-the-counter (OTC) cryptocurrency traders. The complaint follows related criminal and civil actions announced in March 2020 pertaining to the theft of $250 million in cryptocurrency through other exchange hacks by North Korean actors.
ISDA derivatiViews: Deciding On Deference

Date 27/08/2020

In 2013, the Commodity Futures Trading Commission (CFTC) unveiled its cross-border guidance, which set out how it intended to apply US rules in foreign jurisdictions. The commission debated the meaning of a “direct and significant” impact to the US economy in order to justify a broad international application of CFTC rules. As a commissioner at that time, I made my views about the agency’s guidance very clear. I felt it went well beyond the limits set by Congress by indiscriminately exporting CFTC rules overseas with insufficient weight given to principles of international comity, creating duplication and inconsistencies in rule sets. Seven years on, the CFTC recently opted for a different approach – one that will defer to a much greater extent to foreign regulators and reduce the prospect of overseas swaps activity being subject to CFTC oversight unless it poses a material risk to the US.
BOX Exchange: Update To BOX Rule 7160 (Transfer Of Positions)

Date 27/08/2020

BOX Exchange LLC (“BOX”) recently distributed RC-2020-16 which detailed the criteria and procedures that Participants must follow in order to engage in off-floor transfers of options positions. Effective August 28, 2020, BOX has modified the criteria for certain off-floor position transfers.

NZX Markets To Open As Normal

Date 27/08/2020

NZX’s markets will open as normal today, following ongoing work to put in place additional measures to maintain system connectivity, and address the severe DDoS attacks from offshore this week.
Markets, Morality, And Mobsters: Remarks At The 18th Annual Corporate Governance Conference, Commissioner Hester M. Peirce, University Of Texas At Dallas Institute For Excellence In Corporate Governance, Aug. 27, 2020

Date 27/08/2020

Thank you Jessica [Magee]. It is a particular honor to be introduced by an SEC alumna. Although I had hoped this could be an in-person event, I am grateful that we nevertheless can spend some time together virtually. Before I begin, I have to remind you that the views I represent are my own and not necessarily those of the Securities and Exchange Commission or my fellow Commissioners.
Adoption Of Changes To Minor Rule Violation Plans Adding CAT Reporting Compliance Rules

Date 27/08/2020

MIAX Exchange Group has adopted changes to the Exchanges’ Minor Rule Violation Plans (“MRVPs”) to make Members’ violations of the Consolidated Audit Trail (“CAT”) compliance rules (“CAT Compliance Rules”) eligible for disposition with a minor rule violation fine, when warranted.
Canadian Securities Regulators Publish Research On Investor Knowledge, Attitudes And Behaviour

Date 27/08/2020

The Canadian Securities Administrators (CSA) today published findings from a four-year research study that measured what investors know and think about fees and the performance of their investments, and how they interact with advisers.
Deutsche Börse AG: Additional Judgment Creditors Of Iran Filed A Complaint In The U.S. Naming Also Deutsche Börse AG Subsidiary Clearstream Banking S.A. As Defendant

Date 27/08/2020

Clearstream Banking S.A., Luxembourg ("Clearstream"), a 100 per cent subsidiary of Deutsche Börse AG, learned today that on Wednesday, August 26, 2020, additional judgment creditors of Iran (the "Ofisi Plaintiffs") filed a complaint in the United States District Court for the Southern District of New York. The complaint names Iran, the Central Bank of Iran, Bank Markazi, and several financial institutions including Clearstream as defendants.