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  • ASX Releases CHESS Settlement Incident Review

    Date 23/01/2025

    ASX has today released an incident review to assist customers and stakeholders with a more detailed understanding of the CHESS Batch Settlement incident that occurred on Friday 20 December 2024. This includes an overview of how the incident unfolded, root cause analysis, steps taken to prevent reoccurrence, and a preliminary action plan that ensures the ongoing stability of CHESS and identifying opportunities for improvement in our incident management protocols.  

  • Hong Kong Securities And Futures Commission Commences False Trading Prosecution Against Brothers-In-Law

    Date 23/01/2025

    The Securities and Futures Commission (SFC) today commenced criminal proceedings at the Eastern Magistrates’ Court against Mr Lin Tai Fung and his brother-in-law, Mr Or Chun Nin, for alleged conspiracy to commit false trading in the shares of Pa Shun International Holdings Limited (Pa Shun) from 9 April 2017 to 7 March 2018.

  • Securities Commission Malaysia: High Court Allows Forfeiture Of Luxury Condo And Cash

    Date 23/01/2025

    The High Court yesterday allowed the Public Prosecutor’s application against Havana Bayview Sdn Bhd and Wong Shee Kai (Ricky Wong) to forfeit a luxury condominium unit at Four Seasons Place in Kuala Lumpur as well as a sum of RM445,039.28 held in Ricky Wong's personal fixed deposit account (Forfeiture Application).  

  • Acting Chairman Pham Announces CFTC Leadership Changes

    Date 22/01/2025

    Commodity Futures Trading Commission Acting Chairman Caroline D. Pham today announced CFTC leadership changes:

    “I’m pleased to announce CFTC leadership changes with the beginning of the new Administration, and I want to recognize and thank former Chairman Behnam and his staff, as well as Steve Adamske, Director, Office of Public Affairs; Clark Hutchison, Director, Division of Clearing and Risk; Ian McGinley, Director, Division of Enforcement; Vince McGonagle, Director, Division of Market Oversight; Amanda Olear, Director, Market Participants Division; Suyash Paliwal, Director, Office of International Affairs; Rob Schwartz, General Counsel; and Ann Wright, Director, Office of Legislative and Intergovernmental Affairs, who have been the CFTC’s executive leadership team over the past several years. I am grateful for their combined many decades of faithful service to the CFTC, and I appreciate our talented CFTC staff who will be assuming these roles on an interim basis,” Acting Chairman Caroline D. Pham said.

  • Which Markets And Investors?: Statement On The Notice Of Proposed Plan Of Distribution And Opportunity For Comment With Respect To Barclays PLC And Barclays Bank PLC, SEC Commissioner Hester M. Peirce, Jan. 22, 2025

    Date 22/01/2025

    In accordance with a vote taken before January 20, the Commission today published a Notice of Proposed Plan of Distribution and Opportunity for Comment for a Fair Fund created from the $200 million civil penalty imposed in a settled administrative proceeding against Barclays PLC and Barclays Bank PLC. Under the Proposed Plan, the Commission would “use a single claims process to compensate investors who purchased or acquired ADRs on a U.S. exchange and ordinary shares/common stock on a foreign exchange, and were harmed by a violation of the federal securities laws.” Specifically, the Fair Fund proposes to compensate investors for the “Recognized Loss[es]” incurred from trading during the “Relevant Period” in Barclays ADRs on the NYSE and in “Barclays ordinary shares traded on the [London Stock Exchange] (“LSE”).” This proposed plan—to use a Fair Fund to compensate investors who purchased securities of a foreign issuer on a foreign exchange—is somewhat novel. I have both legal and policy concerns regarding the novel proposal.

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