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  • Opening Statement Of CFTC Commissioner Rostin Behnam Before The Open Commission Meeting On June 4, 2018

    Date 04/06/2018

    Thank you Mr. Chairman.  I would like to start with a very big thank you to all of the Commission staff who worked to make today’s meeting possible – both those who will be presenting at the table today and those who worked tirelessly behind the scenes.

    I am very pleased to be here this morning for the Commission’s first open meeting since 2016.  I am optimistic that this will be the first of many public meetings, as the Commission begins to move to propose and implement important rules such as the ones we are discussing today.  I came to the Commission in September of 2017 with great excitement and anticipation about the chance to roll up my sleeves and participate in this endeavor.  Last October, when we moved the phase in date for the de minimis threshold back another year, I said that we should have dealt with this issue then.  I am glad that the day is finally here to discuss the de minimis threshold in a public forum, and begin the process of engaging with the public and market participants to hopefully formulate a final rule on this important issue, and finally provide long needed regulatory certainty.

  • The Saudi Arabia Capital Market Authority Publishes The Draft Amendments To The Investment Accounts Instructions For Public Consultation

    Date 04/06/2018

    The Capital Market Authority (CMA) invited investors, interested parties and the public to provide their comments on the draft amendments to the Investment Accounts Instructions, which is available on the CMA’s official website for a period of 30 days from its publication. The CMA assured that all comments will be taken into consideration for the purpose of finalizing the amendments to the Instructions.

  • SEC Charges Investment Adviser And Two Former Managers For Misleading Retail Clients

    Date 04/06/2018

    The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an $8 million civil penalty related to its failure to disclose conflicts of interest to its retail clients. The settlement will result in the establishment of a Fair Fund for distribution of the penalty to affected clients. The SEC also announced the filing of a litigated action against two deVere USA investment adviser representatives, one of whom was the CEO of the firm.  

  • Regulatory Enhancement Related To Foreign Investment In The Saudi Capital Market

    Date 04/06/2018

    As part of the Capital Market Authority's (CMA) efforts to further develop the capital market in the Kingdom of Saudi Arabia, and based on its strategic objectives to stimulate investments, expand the institutional investments base, and increase the attractiveness of the capital market for all investors, CMA's Board has issued today its resolution to approve the updated Frequently Asked Questions (FAQs) on the Rules for Qualified Foreign Financial Institutions Investment in Listed Securities (Rules). This document aims to provide answers to  most of the commonly asked questions that may be raised by foreign investors, authorised persons and other relevant parties in relation the Rules.

  • CFTC Orders Société Générale S.A. To Pay $475 Million Penalty To Resolve Charges Of Manipulation, Attempted Manipulation, And False Reporting Of LIBOR And Euribor

    Date 04/06/2018

    The Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against Société Générale S.A. (Société Générale or the Bank) for attempted manipulation of and false reporting in connection with the London Interbank Offered Rate (LIBOR) for U.S. Dollar, Yen and Euro, and the Euro Interbank Offered Rate (Euribor), certain instances of manipulation of Yen LIBOR, and aiding and abetting traders at another bank in their attempts to manipulate Euribor.  The Bank’s misconduct spans more than six years, from 2006 through mid-2012.  The CFTC Order requires Société Générale to pay a civil monetary penalty of $475 million, cease and desist from further violations as charged, and adhere to specific undertakings to ensure the integrity of its LIBOR, Euribor, and other benchmark interest rate submissions in the future.

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