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New Zealand Financial Markets Authority: ASX 24 Derivatives Market And SGX-DT Reviews Released

Date 15/12/2022

The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has published the findings of its market operator obligations reviews for the Australian Securities Exchange Limited (ASX 24 derivatives market) and Singapore Exchange Derivatives Trading Limited (SGX-DT dairy derivatives market).
Hong Kong Securities And Futures Commission Welcomes New Chief Executive Officer

Date 15/12/2022

The Securities and Futures Commission (SFC) welcomes the Chief Executive’s appointment of Ms Julia Leung to the post of Chief Executive Officer for a three-year term, effective 1 January 2023.
Japan Financial Services Agency: Scope Of Crypto-Assets And Judgment Criteria For The Applicability

Date 15/12/2022

When there is an inquiry, etc. about the applicability of Crypto-Assets as prescribed in Article 2(5) of the Payment Services Act (Act No. 59 of 2009; hereinafter referred to as “the Act”), the supervisory authorities shall make a judgment in light of the definition of Crypto-Assets as prescribed in each item of the same paragraph, while giving consideration to the following points.
ICE Global Network Expands In Key Asian Markets - Enhancements In Hong Kong, Shanghai And Tokyo Offer Managed Hosting Services And Ultra-Low-Latency Connectivity To Global Markets And Data

Date 15/12/2022

Intercontinental Exchange, Inc. (NYSE: ICE), a leading global provider of data, technology and market infrastructure, today announced the expansion of the ICE Global Network in the Asia Pacific region, with new access centers in Hong Kong, Shanghai and Tokyo. This follows a significant investment in the region and brings ICE’s network and managed services offerings to parity with other global financial centers in the U.S. and Europe.
US Department Of Justice - Eight Men Indicted For $114 Million Securities Fraud Scheme Orchestrated Through Social Media

Date 14/12/2022

A federal grand jury in the Southern District of Texas returned an indictment that was unsealed yesterday charging eight men with conspiracy to commit securities fraud for a long-running, social media-based “pump and dump” scheme.

Insider Trading Rules Get A Much Needed Facelift, SEC Commissioner Caroline A. Crenshaw, Dec. 14, 2022

Date 14/12/2022

By virtue of their positions, executives and certain other corporate insiders are routinely exposed to material nonpublic information (MNPI) —unpublished financial results, advanced merger discussions, unannounced business risks that have materialized. Trading on that information ahead of the public undermines confidence in our markets.
SEC Charges Financial Services Professional And Associate In $47 Million Front-Running Scheme

Date 14/12/2022

The Securities and Exchange Commission today announced fraud charges against Lawrence Billimek, an employee of a major asset management firm with securities portfolios worth billions of dollars, and Alan Williams, who previously worked at several financial industry firms, for perpetrating a multi-year front-running scheme that generated at least $47 million in illegal trading profits.
SEC Charges Four Individuals In Crypto Pyramid Scheme That Targeted Spanish-Speaking Communities - Forcount Trader Systems' Creator And Promoters Orchestrated $8.4 Million Fraud

Date 14/12/2022

The Securities and Exchange Commission today charged Francisley Valdevino Da Silva, Juan Antonio Tacuri Fajardo, Ramon Antonio Perez Arias, and Jose Ramiro Coronado Reyes for their roles in creating and promoting Forcount Trader Systems, Inc., a fraudulent crypto asset pyramid scheme that raised more than $8.4 million from hundreds of retail investors primarily from Spanish-speaking communities throughout the United States and other countries.
ISDA derivatiViews: Looking To 2023

Date 14/12/2022

A single word can be used to sum up 2022: unpredictability. From the war in Ukraine to the meltdown in the crypto sector, this year has seen a succession of unanticipated events that have shaken markets. Given the uncertainty of the past 12 months, it’s challenging to make predictions about 2023, but there are several key issues we think will continue to be a priority: the treatment of non-bank financial intermediation (NBFI), further improving transparency and the ongoing development of sustainable finance.
Ordering Competition, SEC Commissioner Hester M. Peirce, Dec. 14, 2022

Date 14/12/2022

Thank you, Mr. Chair. Too often in its history, the SEC has sought to order competition rather than facilitate orderly competition. This latest effort to order competition threatens to create disorder in the capital markets, the functioning of which is so important to the rest of our economy. Accordingly, I cannot support this proposal.