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SEC Charges ICO Superstore And Owners With Operating As Unregistered Broker-Dealers

Date 11/09/2018

The Securities and Exchange Commission today announced that TokenLot LLC, a self-described “ICO Superstore,” and its owners will settle charges that they acted as unregistered broker-dealers. This is the SEC’s first case charging unregistered broker-dealers for selling digital tokens after the SEC issued The DAO Report in 2017 cautioning that those who offer and sell digital securities must comply with the federal securities laws.

CFTC Commissioner Behnam To Provide Remarks At The Michigan Agri-Business Association’s 2018 Outlook Conference

Date 11/09/2018

WHAT:

Commissioner Rostin Behnam will provide remarks at the Michigan Agri-Business Association’s 2018 Outlook Conference

WHEN:

Saturday, September 15, 2018
9:00 a.m. (EDT)

WHERE:

Grand Hotel

286 Grand Ave
Mackinac Island, MI 49757

SEC Charges Digital Asset Hedge Fund Manager With Misrepresentations And Registration Failures

Date 11/09/2018

The Securities and Exchange Commission today announced its first-ever enforcement action finding an investment company registration violation by a hedge fund manager based on its investments in digital assets.
ESAs See Return Of Volatility In New Risk Report

Date 11/09/2018

The European Union's (EU) securities, banking and insurance sectors continue to face a range of risks, the latest report on risks and vulnerabilities in the EU financial system by the Joint Committee of the European Supervisory Authorities (ESAs) shows.

FIA: August SEF Tracker Now Available Online

Date 11/09/2018

Total trading volume on SEFs averaged $629.4 billion in notional value per day during August 2018. That was up 10.2% percent from the previous month and up 38.7% from August 2017. The month-over-month increase in trading volume was driven mainly by a rise in on-SEF trading of interest rate swaps, which was up 9.4% from July 2018 and up 39.1% from August 2017. Trading of FX products in August 2018 continued at a high level; FX trading in August reached a new record of $66 billion in average daily notional value, the fifth time this year that average daily FX volume set a record.

SEC Obtains Relief To Fully Reimburse Retail Investors Sold Unsuitable Product

Date 11/09/2018

The Securities and Exchange Commission today announced it has obtained monetary relief that will fully reimburse retail investors for losses on a leveraged oil-linked exchange-traded note (ETN) that registered representatives of Syracuse, New York-based broker-dealer and investment adviser Cadaret, Grant & Co. Inc. recommended without a reasonable basis.
Remarks By CFTC Chairman J.Christopher Giancarlo At FIA Japan, Tokyo, Japan - A New Approach To Cross-Border Swaps Reform: One Market, One Regulator, One Set Of Rules

Date 11/09/2018

It is time to recognize the systemic risk to the global financial system of dividing global markets for institutional commercial risk transfer into a series of limited and divided trading pools based on the inconsequentiality of corporate nationality. The time has come to complete the important mission of global swaps reform in a manner that is harmonious and effective without fragmenting world markets.
ADCB Set To Work With Fintech Abu Dhabi Innovation Challenge As ‘Corporate Champion’ To Inject Industry Know-How To New Fintech Solution

Date 11/09/2018

Abu Dhabi Commercial Bank (ADCB), one of the largest banks in the United Arab Emirates, has been announced as a ‘Corporate Champion’ for the second edition of the game-changing Innovation Challenge 2018 by Abu Dhabi Global Market (ADGM) and KPMG Lower Gulf Limited (KPMG LG).
Euronext Announces Quarterly Review Results For The AEX, AMX, AScX

Date 11/09/2018

Euronext today announced the results of the quarterly review of the AEX®, AMX® and AScX® indices. The changes due to the review will be effective from Monday 24 September 2018.
ACER Conclusions On The II Energy Market Integrity And Transparency Forum Online

Date 11/09/2018

The Agency publishes today the ACER conclusions following the 2nd Energy Market Integrity and Transparency Forum held in Ljubljana on 6 and 7 September. You can also find the presentations delivered at the Forum here.