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Shenzhen Stock Exchange Market Bulletin, December 13, 2024, Issue 38

Date 17/12/2024

Click here to download Shenzhen Stock Exchange#s market bulletin, issue 38.
Statement On Electronic Filing, SEC Chair Gary Gensler

Date 16/12/2024

Today, the Commission approved a final rule to require broker-dealers, securities-based swap dealers, exchanges, clearing agencies, and other self-regulatory organizations to submit forms electronically. I am pleased to support this adoption because it would improve the efficiency of our markets by modernizing the filing process for a wide range of registrants.
Dissenting Statement On Electronic Submission Of Certain Materials Under The Securities Exchange Act Of 1934 And Amendments Regarding The FOCUS Report, SEC Commissioner Hester M. Peirce, SEC Commissioner Mark T. Uyeda, Dec. 16, 2024

Date 16/12/2024

The Commission is adopting rule amendments that require certain filings and submissions under the Securities Exchange Act of 1934 to be made electronically. The amendments will mandate that many of these filings and submissions be provided using structured, machine-readable data language. While we generally support the transition from paper filings to electronic filings, we object to the manner in which the Commission is imposing structured data requirements. Accordingly, we are unable to support today’s amendments.
SEC Modernizes The Submission Of Certain Forms, Filings, And Materials Under The Securities Exchange Act Of 1934

Date 16/12/2024

The Securities and Exchange Commission today adopted amendments to require the electronic filing, submission, or posting of certain forms, filings, and other submissions that national securities exchanges, national securities associations, clearing agencies, broker-dealers, security-based swap dealers, and major security-based swap participants make with the Commission.
SEC: Becton Dickinson To Pay $175 Million For Misleading Investors About Alaris Infusion Pump - New Jersey-Based Company Will Also Retain Independent Compliance Consultant

Date 16/12/2024

The Securities and Exchange Commission today announced settled charges against Becton, Dickinson and Company, a New Jersey-based medical device manufacturer known as BD, for repeatedly misleading investors about risks associated with its continued sales of its Alaris infusion pump and for overstating its income by failing to record the costs of fixing multiple software flaws with the pump. BD agreed to pay a $175 million civil penalty.

Warning – Peak Nadex Trader a/k/a Peak Binary Option Soliciting Nadex Members

Date 16/12/2024

It has come to our attention that Peak Nadex Trader a/k/a Peak Binary Option, operating website peakbinaryoption.com, and/or its “employees”, is soliciting clients by offering a “Nadex managed account service” in exchange for a portion of any profits earned. Please be advised that Nadex is not affiliated in any way with Peak Nadex Trader or Peak Binary Option. Note that pursuant to the Nadex Membership Agreement, “You may not give control over Your account to any other person or entity and You may not control the account of any other Member. You shall maintain the confidentiality of Your access Materials and prevent the unauthorized use of Your Access Materials at all times.” Furthermore, Nadex Rule 5.19(g)(i) states “No individual Trading Member shall trade for a person or entity other than itself and no Authorized Trader of an entity Trading Member shall trade for a person or entity other than the entity Trading Member for whom that Person is an Authorized Trader.” Accordingly, any Nadex Member who grants access to their individual trading account to a third party is in violation of the Membership Agreement as well as Exchange Rule 5.19(g)(i), and may be subject to disciplinary action.
CFTC Commissioner Kristin N. Johnson Announces Reports And Recommendations Advanced By MRAC In 2024

Date 16/12/2024

The Market Risk Advisory Committee held a public meeting Dec. 10 during which the MRAC adopted three sets of recommendations for the U.S. Commodity Futures Trading Commission’s consideration. The reports and accompanying recommendations, detailed below, address (i) U.S. Treasury markets with a focus on effective risk management practices for the cash-futures basis trade, (ii) modernization of regulation governing cyber resilience and critical third-party service providers for central counterparties, and (iii) the potential benefits and limitations of formally adopting obligations to employ legal entity identifiers for beneficial account holders of certain intermediaries.
CFTC Swaps Report Update

Date 16/12/2024

CFTC's Weekly Swaps Report has been updated, and is now available: http://www.cftc.gov/MarketReports/SwapsReports/index.htm.
ETFGI Reports Assets Invested In ESG ETFs Listed Globally Reached A New Record Of 645.21 Billion US Dollars At The End Of November

Date 16/12/2024

ETFGI, a leading independent research and consultancy firm renowned for its expertise in subscription research, consulting services, events, and ETF TV on global ETF industry trends, reported today that assets invested in Environmental, Social, and Governance (ESG) ETFs listed globally reached a new record of US$645.21 billion at the end of November. ESG ETFs and ETPs listed globally gathered net inflows of US$6.57 billion during November, bringing year-to-date net inflows for 2024 to US$53.67 billion slightly lower than the US$53.78 billion in year-to-date net inflows gathered in 2023, according to ETFGI’s November 2024 ETF and ETP ESG industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in unless otherwise noted.)
US Office Of The Comptroller Of The Currency Reports On Key Risks In Federal Banking System

Date 16/12/2024

The Office of the Comptroller of the Currency (OCC) today reported the key issues facing the federal banking system in its Semiannual Risk Perspective for Fall 2024.