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CFTC Orders The Bank Of Nova Scotia To Pay $50 Million For Swap Dealer Compliance And Supervision Failures And False Statements

Date 19/08/2020

The Commodity Futures Trading Commission issued an order today filing and settling charges against The Bank of Nova Scotia (BNS), a provisionally registered swap dealer, for swap dealer compliance failures, failing to supervise its swap dealer activities diligently, and making false or misleading statements to CFTC staff during the course of the Division of Enforcement’s investigation. The order finds that the violations occurred over a seven-year period.
Ontario Securities Commission Study Explores Retail Investor Responses To The COVID-19 Pandemicpilot

Date 19/08/2020

Investors have been confronted with unprecedented uncertainty during the COVID-19 pandemic. Understanding how the pandemic is affecting retail investor experiences and behaviours is key to protecting investors.
Richard R. Best Named Director Of SEC's New York Regional Office

Date 19/08/2020

The Securities and Exchange Commission today announced that Richard R. Best has been named Director of the New York Regional Office. Mr. Best will succeed Marc P. Berger, who has been named Deputy Director of the Division of Enforcement.
CFTC Orders The Bank Of Nova Scotia To Pay Record $77.4 Million For Spoofing And Making False Statements - Result Is The Largest Civil Monetary Penalty Ever Ordered In A Spoofing Case

Date 19/08/2020

The Commodity Futures Trading Commission today issued two orders filing and settling charges against The Bank of Nova Scotia (BNS), a provisionally registered swap dealer, arising from manipulative and deceptive conduct, spanning more than eight years and involving thousands of occasions of attempted manipulation and spoofing in gold and silver futures contracts traded on the Commodity Exchange, Inc. (COMEX). The combined orders require BNS to pay a total of $77.4 million in penalties and equitable relief, including a record-setting $17 million for making false and misleading statements to CFTC staff during the CFTC’s first investigation into the bank’s spoofing (False Statements Order), and a total of $60.4 million for spoofing and attempted manipulation (Spoofing Order). In addition to monetary sanctions, the Spoofing Order requires BNS to retain an independent compliance monitor.
Minutes Of The Federal Open Market Committee, July 28-29, 2020

Date 19/08/2020

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on July 28-29, 2020.

SEC Names Marc P. Berger As Deputy Director Of Enforcement

Date 19/08/2020

The Securities and Exchange Commission today announced that Marc P. Berger, currently Director of the SEC’s New York Regional Office, has been named Deputy Director of the Division of Enforcement.
Brief Remarks, Federal Reserve Governor Michelle W. Bowman, At The Outstanding Women Of Kansas Awards Ceremony, Topeka, Kansas

Date 19/08/2020

Thank you to the 19th Amendment Centennial Celebration Committee for the honor of being included among these distinguished awardees, whose achievements have done so much for our state and our nation.
CFTC Orders The Bank Of Nova Scotia To Pay $127.4 Million For Spoofing, False Statements, Compliance And Supervision Violations - Record Civil Monetary Penalties Levied For Spoofing, False Statements, And Swap Dealer Compliance And Supervision Violation

Date 19/08/2020

The Commodity Futures Trading Commission today issued three orders filing and settling charges against The Bank of Nova Scotia (BNS), a provisionally registered swap dealer, resolving two separate enforcement actions. The combined orders require BNS to pay $127.4 million for spoofing and making false statements [See CFTC Press Release No. 8221-20], as well as for swap dealer compliance and supervision violations and additional false statements. [See CFTC Press Release No. 8222-20]
EBA Supports The EU Commission’s Call For A More Efficient And Effective Framework To Tackle Money Laundering And Terrorism Financing

Date 19/08/2020

The European Banking Authority (EBA) published today its response to the European Commission’s Action Plan for a comprehensive Union policy on preventing money laundering and terrorism financing (ML/TF). In its response, the EBA sets out technical points that policy-makers should consider when deciding on the scope and powers of an EU-level supervisor for Anti-Money Laundering/Combating the Financing of Terrorism (AML/CFT).
McObject: Demand More Control From A Database Management System - eXtremeDB 8.2 Offers New Platforms, Performance Enhancements, Python & C++ Stored Procedures

Date 19/08/2020

McObject® announces important enhancements in the new version of its eXtremeDB® embedded database management system, arming developers with more control, new platform support, performance improvements and new features.