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ASIC Highlights Focus Areas For 31 December 2024 Financial Reports

Date 13/12/2024

ASIC is urging directors, preparers of financial reports and auditors to be aware of the enduring and ongoing focus areas in its proactive surveillance of financial reports for the year ending 31 December 2024.
CFFEX: Notice On Issues Related To The Delivery Of Equity Index Futures And Options Contracts

Date 13/12/2024

Pursuant to the Trading Rules of China Financial Futures Exchange and relevant detailed implementation rules, the last trading day of a CSI 300 Index futures, SSE 50 Index futures, CSI 500 Index futures, CSI 300 Index options, CSI 1000 Index futures, CSI 1000 Index options, and SSE 50 Index options contract is the third Friday of the expiry month. Where the last trading day is a public holiday or trading of that contract is suspended on that day for extraordinary situations or other reasons, the last trading day shall be postponed to the following trading day. Accordingly, the last trading day of IF2412, IH2412, IC2412, IO2412(CSI 300 Index options contracts expiring in December 2024), IM2412,MO2412(CSI 1000 Index options contracts expiring in December 2024),and HO2412(SSE 50 Index options contracts expiring in December 2024) is December 20, 2024.
Hong Kong Securities And Futures Commission Welcomes Launch Of Integrated Fund Platform

Date 13/12/2024

The Securities and Futures Commission (SFC) today welcomed Hong Kong Exchanges and Clearing Limited’s (HKEX) launch of the first phase of the Integrated Fund Platform (IFP).
HKEX Introduces Fund Repository On Integrated Fund Platform

Date 13/12/2024

Hong Kong Exchanges and Clearing Limited (HKEX) is pleased to announce today (Friday) the launch of a Fund Repository on its Integrated Fund Platform (IFP), marking a significant step forward in enhancing transparency of fund information for Securities and Futures Commission (SFC) authorised funds in Hong Kong.
Statement On CAT Cost Savings, SEC Chair Gary Gensler

Date 12/12/2024

Today, the Commission approved amendments to the 2016 National Market System Plan that established the Consolidated Audit Trail (CAT). I am pleased to support this amendment estimated to save $21 million annually while maintaining the core functionality of CAT.

Dissenting Statement Regarding Recent SPAC Cases – Digital World Acquisition Corp., Northern Star Investment Corp. II, And Cantor Fitzgerald, L.P., SEC Commissioner Mark T. Uyeda, Dec. 12, 2024

Date 12/12/2024

Since July 2023, the Commission has brought three cases against special purpose acquisition companies (SPACs) and/or SPAC sponsors, charging them with fraud because they made false and misleading statements regarding the details of their communications with potential target companies. I have declined to support these cases because the alleged misstatements and omissions are not material, and I do not view the facts in the Order as demonstrating investor harm.
SEC Charges Cantor Fitzgerald Over Misleading SPAC Disclosures

Date 12/12/2024

The Securities and Exchange Commission today charged global financial services firm Cantor Fitzgerald, L.P. with causing two special purpose acquisition companies (SPACs) that it controlled to make misleading statements to investors ahead of their initial public offerings (IPOs). Cantor Fitzgerald has agreed to pay a $6.75 million civil penalty to settle the SEC’s charges.
US Department Of Justice: Early Bitcoin Investor Sentenced For Filing Tax Returns That Falsely Reported His Cryptocurrency Gains

Date 12/12/2024

An Austin, Texas, man was sentenced today to two years in prison for filing a tax return that falsely underreported the capital gains he earned from selling $3.7 million in bitcoins.
CFTC Staff Issues Advisory Regarding Form 304 Submission Format Beginning January 15, 2025

Date 12/12/2024

The Commodity Futures Trading Commission’s Division of Market Oversight today issued an advisory notifying all merchants and dealers of cotton holding or controlling positions for future delivery in cotton (traders) that beginning next year they must submit the regulatory filing identified as “Form 304” through the CFTC’s online filings portal.
SEC Charges Former Representative Of Advisory Firm SeaCrest With Cherry-Picking - Firm Settles SEC Charges Related To Former Employee’s Misconduct

Date 12/12/2024

The Securities and Exchange Commission today charged Eric Cobb of South Carolina with engaging in a fraudulent scheme where he allocated profitable securities trades to favored accounts and unprofitable trades to disfavored clients, a practice known as cherry-picking, while he was a representative of investment adviser SeaCrest Wealth Management, Inc. The SEC also announced settled charges against SeaCrest in connection with the scheme.