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CFTC Orders Trader To Pay $160,000 For Making Misrepresentations To Futures Commission Merchants

Date 02/10/2019

The U.S. Commodity Futures Trading Commission announced today that it issued an order filing and simultaneously settling charges against Aron Seidenfeld, a New York-based futures trader, for causing material misrepresentations to be made in account opening documents submitted to multiple futures commission merchants (FCMs). The order was entered on Monday, September 30, 2019.
New Zealand Financial Markets Authority Bolsters Senior Leadership Team

Date 02/10/2019

The Financial Markets Authority (FMA) announced today two senior appointments to its executive team, reporting directly to Chief Executive Rob Everett.
CFTC Orders Two Trading Firms, Bank To Pay A Total Of $3 Million For Spoofing

Date 01/10/2019

The U.S. Commodity Futures Trading Commission today announced that civil enforcement actions were filed and simultaneously settled against two trading firms and one bank for violating the Commodity Exchange Act’s (CEA) prohibition on spoofing (bidding or offering with the intent to cancel the bid or offer before execution). These cases were brought in connection with the Division of Enforcement’s Spoofing Task Force.
SEC Proposes To Require Proposed NMS Plan Fee Amendments To Follow Public Notice, Comment, And Approval Procedure

Date 01/10/2019

The Securities and Exchange Commission today proposed to require an amendment to a national market system plan (NMS plan) that would establish or change a fee or other charge (Proposed Fee Change) to be subject to the standard procedure for NMS plan amendments. The proposal would rescind a rule exception that allows an NMS plan amendment to be effective upon filing if it establishes or changes a fee or other charge. The standard procedure requires publication of the amendment, an opportunity for public comment, and Commission approval by order before the amendment can become effective.
CFTC Orders Energy Broker And Its Owner To Pay Over $1.5 Million For Misappropriating Confidential Customer Information And Other Violations

Date 01/10/2019

The U.S. Commodity Futures Trading Commission announced today that it issued an order filing and settling charges against introducing broker Classic Energy LLC and its owner Mathew D. Webb of Houston, Texas for misusing material, nonpublic order information in connection with block trades in natural gas futures on ICE Futures US, as well as related supervision and recordkeeping violations. The order was entered on Monday, September 30, 2019.

Canadian Securities Regulators Publish Latest Investor Education Activities

Date 01/10/2019

To kick off Investor Education month in October, the Canadian Securities Administrators (CSA) today published Investor Education in Canada 2019, its annual activity report that highlights CSA investor education and outreach initiatives.
CFTC Orders RBC Capital Markets, LLC To Pay $5 Million for Supervisory Failures Resulting In Illegal Trades And Other Violations

Date 01/10/2019

The U.S. Commodity Futures Trading Commission today announced the agency issued an order on Monday, September 30, 2019, filing and setting charges against RBC Capital Markets, LLC (RBCCM), a registered futures commission merchant (FCM), for failing to meet its supervisory obligations, which resulted in hundreds of unlawful trades and other violations over the period of at least late 2011 through May 2017.
CFTC Orders Six Financial Institutions To Pay Total Of More Than $6 Million For Reporting Failures - Agency Charges First Ever Violation Of Swap-Dealer Risk Management Regulations

Date 01/10/2019

The U.S. Commodity Futures Trading Commission today announced that it issued orders yesterday against HSBC Bank USA, N.A., Société Générale International Limited, The Northern Trust Company, NatWest Markets Plc, The Bank of New York Mellon, and PNC Bank, National Association for reporting failures. Société Générale International Limited and The Northern Trust Company were also charged with failing to supervise in connection with the reporting failures. HSBC was also charged with violating swap-dealer risk management regulations, the first time the Commission has brought such an action.
BOX Exchange: Update To Trade Detail File

Date 01/10/2019

On October 31, 2019, BOX Exchange LLC (“BOX”) will update the monthly and daily trade detail files
Bahamas International Securities Exchange: APD Limited Trading Parameters Expanded

Date 01/10/2019

The Bahamas International Securities Exchange Limited (BISX) wishes to notify BISX Broker-Dealer Members that the freeze parameters on the common shares of APD Limited (APD) traded on the Bahamas Automated Trading System (BATS) has been expanded from 20% to 30%. This change will take effect on Wednesday, 2 October 2019 at 10:00 am.