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CFTC Commitments Of Traders Reports Update

Date 13/01/2017

The current reports for the week of January 10, 2017 are now available.
Office Of Financial Research Update: Financial Markets Monitor For Q4

Date 13/01/2017

The OFR released today the Financial Markets Monitor for Q4. The monitor says, U.S. long-term interest rates have risen from all-time lows in July, driven by stronger global economic data, higher inflation expectations, and growing expectations of a U.S. shift from monetary to fiscal policy stimulus. However, U.S. long-term rates and volatility remain low by historical standards.
CFTC Grants Order To LCH.Clearnet Limited Permitting Portfolio Margining Of Customer Positions In Futures, Foreign Futures, And Cleared Swaps

Date 13/01/2017

The U.S. Commodity Futures Trading Commission (CFTC ) today issued an order to LCH.Clearnet Limited (LCH), a CFTC-registered derivatives clearing organization, under Section 4d(f) of the Commodity Exchange Act. The order was issued in response to a petition filed by LCH.
SEC: Chemical And Mining Company In Chile Paying $30 Million To Resolve FCPA Cases

Date 13/01/2017

The Securities and Exchange Commission today announced that Chilean-based chemical and mining company Sociedad Quimica y Minera de Chile S.A. (SQM) agreed to pay more than $30 million to resolve parallel civil and criminal cases finding that it violated the Foreign Corrupt Practices Act (FCPA).
Bats Auction Mechanism (BAM) Launches Successfully On EDGX Options Exchange - New Price Improvement Functionality Unveiled

Date 13/01/2017

Bats Global Markets, Inc. (Bats: BATS) announced today the successful launch of the Bats Auction Mechanism (BAM), providing price improvement opportunities for customer orders. The company began rollout of the new functionality on the EDGX Options Exchange on January 4th and completed it, with no disruption to customers, on January 10th.

US Agencies Extend Comment Period For Advance Notice Of Proposed Rulemaking On Enhanced Cyber Risk Management Standards

Date 13/01/2017

The Federal Reserve Board, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation on Friday extended until February 17, 2017, the comment period for the advance notice of proposed rulemaking on enhanced cyber risk management standards for large and interconnected entities under their supervision and those entities' service providers.
Federal Trade Commission To Host FinTech Forum On Blockchain And Artificial Intelligence On March 9

Date 13/01/2017

The Federal Trade Commission will host its third FinTech Forum on March 9, 2017, focusing on the consumer implications of two rapidly developing technologies: artificial intelligence and blockchain.
CFTC Unanimously Approves Proposals On Swaps Data And Other Amendments

Date 13/01/2017

The U.S. Commodity Futures Trading Commission (Commission) today unanimously approved proposed changes to swap data rules that implement Congressional action to remove indemnification requirements for the use of swap data by other regulators. In a separate proposal, the Commission voted to update Parts 3 and 9 to integrate existing advisory guidance, incorporate swap execution facilities (SEFs), and update provisions currently applicable to designated contract markets (DCMs). The comment period will be open for 60 days after publication in the Federal Register. All comments will be posted on the Commission’s website.
UK's Financial Conduct Authority: Two Sentenced In Insider Dealing Case

Date 13/01/2017

In a prosecution brought by the Financial Conduct Authority (FCA) Manjeet Mohal, a former employee of Logica Plc, has today been sentenced to 10 months imprisonment suspended for two years in respect of two counts of insider dealing. He was also ordered to undertake 180 hours of community work. Reshim Birk, a neighbour of Mr Mohal’s was sentenced to 16 months imprisonment suspended for two years in respect of one count of insider dealing. He was ordered to undertake 200 hours of community work.
SEC: Morgan Stanley Paying $13 Million Penalty For Overbilling Clients And Violating Custody Rule

Date 13/01/2017

The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay a $13 million penalty to settle charges that it overbilled investment advisory clients due to coding and other billing system errors. The firm also violated the custody rule pertaining to annual surprise examinations.