News Centre

CFTC To Hold An Open Commission Meeting On September 17

Date 10/09/2020

Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC will hold an open meeting on Thursday, September 17, 2020 at 10:00 a.m. (EDT). The meeting will be held via conference call in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic.

ISDA Create InfoHub

Date 10/09/2020

ISDA Create is an online platform that allows buy- and sell-side firms to electronically negotiate their documentation, making the negotiation process far more efficient and less time consuming, as well as allowing for the capture of legal and commercial data within the documents without any additional effort.

Statement By Michel Barnier Following Round 8 Of Negotiations For A New Partnership Between The European Union And The United Kingdom

Date 10/09/2020

The eighth round of negotiations on the future EU-UK partnership took place in London this week.

Intercontinental Exchange Announces Pricing Of Secondary Offering Of Common Stock

Date 10/09/2020

Intercontinental Exchange (NYSE: ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, announced today the pricing of an underwritten secondary offering by Ellie Mae Parent, LP, an entity controlled by Thoma Bravo (the “selling stockholder”), of 9,180,568 shares of ICE’s common stock at a price to the public of $100.20 per share. Goldman Sachs & Co. LLC served as the sole underwriter for this offering. The offering is expected to close on or about September 11, 2020, subject to satisfaction of customary closing conditions.

CFTC: Agricultural Advisory Committee To Meet Via Teleconference September 24

Date 10/09/2020

Chairman Heath P. Tarbert, the sponsor of the Agricultural Advisory Committee (AAC), announced today the AAC will hold a public meeting on Thursday, September 24, 2020 at 2:00 p.m. (EDT). The meeting will be held via conference call in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic.

FIA August 2020 SEF Tracker

Date 10/09/2020

EBA Calls On The EU Commission To Establish A Single Rulebook On Fighting Money Laundering And Terrorist Financing

Date 10/09/2020

The European Banking Authority (EBA) published today its response to a European Commission’s call for advice on how to strengthen the EU legal framework on anti-money laundering and countering the financing of terrorism (AML/CFT). The European Commission issued this call for advice to the EBA to take advantage of its technical expertise across all areas of financial services regulation and because the EBA has a legal duty to lead, coordinate and monitor the EU financial sector’s fight against ML/TF.

CFTC Issues Guidance On Factors Used in Evaluating Corporate Compliance Programs In Connection With Enforcement Matters

Date 10/09/2020

The Commodity Futures Trading Commission today announced the issuance of new, public, staff-level guidance by the Division of Enforcement, which outlines factors that will be considered when evaluating compliance programs in connection with enforcement matters. The guidance, which will be published in the agency’s Enforcement Manual, is the first of its kind issued by the Division. It follows the recent update of the agency’s civil monetary penalty guidance, which was released in May. [See CFTC Press Release No. 8165-20]

UK Financial Conduct Authority Publishes Annual Report And Accounts 2019/20

Date 10/09/2020

The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the organisation’s key pieces of work throughout 2019/20.

IROC Publishes The Best Practices For Electronic Proceedings

Date 10/09/2020

Due to social distancing and other public health measures in response to COVID-19, IIROC inperson hearings were postponed or converted to electronic proceedings, either by telephone or videoconference. As the situation continues to evolve, the IIROC Hearing Committee remains committed to ensuring that proceedings are conducted in the public interest in a manner that is timely, fair and safe. This requires that hearings be conducted electronically until such time as inperson hearings become feasible.