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CFTC’s Technology Advisory Committee To Meet On January 23, 2018

Date 12/12/2017

The Commodity Futures Trading Commission’s (CFTC) Technology Advisory Committee (TAC) will hold a public meeting on January 23, 2018 at CFTC’s Washington, DC, headquarters.
SEC Appoints New Chairman And Board Members To PCAOB

Date 12/12/2017

The Securities and Exchange Commission today announced the appointment of William D. Duhnke III as Chairman and J. Robert Brown, Kathleen M. Hamm, James G. Kaiser, and Duane M. DesParte as Board members of the Public Company Accounting Oversight Board (PCAOB).
Canadian Regulators Sign An Agreement With The Australian Securities And Investments Commission

Date 12/12/2017

The securities regulatory authorities in Alberta, British Columbia, Manitoba, New Brunswick, Nova Scotia, Québec and Saskatchewan (participating jurisdictions) today announced a co-operation agreement with the Australian Securities and Investments Commission (ASIC). This agreement will allow the participating jurisdictions and the ASIC to exchange information on fintech trends and development, and efficiently refer innovative businesses seeking to enter the others’ markets.
Market Assessment: Sell-Side Connectivity Results From TABB Group

Date 12/12/2017

TABB Group recently interviewed 23 senior trading executives from Tier 1 and Tier 2 sell-side firms, as well as five technology vendors, to better understand the dynamics behind the global equities trade execution and trading connectivity businesses. These businesses feature a number of different components, many of which are in flux because of three major drivers: (1) regulation/MiFID II, (2) low volumes and volatility, and (3) changing technology. TABB Group’s latest research note, “Market Assessment: Sell-Side Connectivity Results,” contains the high-level results of our outreach and includes an analysis of market drivers, trends and the voice of the market.
Cboe Welcomes New Pacer Fund To ETF Marketplace

Date 12/12/2017

Cboe Global Markets, Inc. (Cboe: CBOE | Nasdaq: CBOE), one of the world’s largest exchange holding companies, today welcomed a new Pacer fund to the Cboe ETF Marketplace.

Using Exchange-Listed Options As A Risk Management Tool For IPO stocks, By Gary Delany, OIC Director, Europe, December 12, 2017

Date 12/12/2017

Markets trade on information. Initial public offerings, or IPOs, can be large events that are popular with investors. An IPO takes place when a new or existing company first issues stock to the public, with the primary goal of raising capital for corporate development.
SEC Charges Biopharmaceutical Company With Failing To Properly Disclose Perks For Executives - Former CEO And CFO Also Charged

Date 12/12/2017

The Securities and Exchange Commission today charged a biopharmaceutical company with committing a series of accounting controls and disclosure violations, including the failure to properly report as compensation millions of dollars in perks provided to its then-CEO and then-CFO.
EBA Publishes Final Guidelines On Security Measures Under PSD2

Date 12/12/2017

The European Banking Authority (EBA) published today its final Guidelines on security measures for operational and security risks of payments services under the revised Payment Services Directive (PSD2). These Guidelines are in support of the objective of PSD2 of contributing to an integrated payments market across the European Union, promoting equal conditions for competition, and mitigating the increased security risks arising from electronic payments. This, in turn, minimises disruption to users, payment service providers and payment systems.
UK's Financial Conduct Authority: Ross Peters Sentenced For Failing To Pay Confiscation Order

Date 12/12/2017

Ross Peters was today sentenced to 400 days imprisonment for failing to pay the full value of a confiscation order made against him.
Federal Court Orders Kevin Michael Symons Of Foot Hill Ranch, California And His Firm, FTS Financial, Inc., To Pay Over $5 Million Total For Fraud And Jerry Austin Simmons Of Charlotte, North Carolina To Pay $360,000 For Fraud And Failure To Register With The CFTC

Date 12/12/2017

The Commodity Futures Trading Commission (CFTC) announced that Judge Ronnie Abrams of the U.S. District Court for the Southern District of New York entered a Consent Order against Defendants Kevin Michael Symons of Foothill Ranch, California, and his California company, FTS Financial, Inc. (FTS), and a Consent Order against Jerry Austin Simmons of Charlotte, North Carolina. The Orders find that the Defendants fraudulently promoted Simmons’ “Real Time Trade Room” (the Room), an online futures “trading” forum marketed by the Defendants as a way to observe Simmons as he purported to trade futures contracts “live” and that Simmons solicited clients to open managed futures trading accounts without being registered as required with the CFTC as an Associated Person (AP) of a Commodity Trading Advisor (CTA).