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China Securities Regulatory Commission And Hong Kong Securities And Futures Commission Approve In Principle Expansion Of Scope Of Underlying Stocks Eligible For Trading Under Chinese Mainland-Hong Kong Stock Connect Mechanisms

Date 21/12/2022

Today, CSRC and the Securities and Futures Commission (SFC) released a Joint Announcement, approving in principle the further expansion of the scope of underlying stocks eligible for trading under Chinese mainland-Hong Kong Stock Connect mechanisms. It marks a new important achievement in the expansion of the pragmatic cooperation between Chinese mainland and Hong Kong capital markets.
New Zealand Institute Of Chartered Accountants Publishes Disciplinary Outcomes Relating To Wynyard Audit By PwC

Date 21/12/2022

The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko notes the New Zealand Institute of Chartered Accountants (NZICA) has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.
A Comprehensive Upgrade In Shenzhen Stock Exchange IT Conference -- Exchanges In Greater Bay Area Join Hands To Write A New Chapter Of Sci-tech Innovation In The Securities And Futures Industry

Date 21/12/2022

From December 16 to 17, SZSE, together with Hong Kong Exchanges and Clearing Limited (HKEX) and Guangzhou Futures Exchange (GFEX), jointly held the IT Conference for the Greater Bay Area Exchanges themed by “Spearheading with Technology: Galvanize New Momentum for Digitalization in Securities and Futures Market”. The conference was held according to the guiding principles of the 20th CPC National Congress to earnestly put in place the decisions and plans of the CPC Central Committee and the central government on digitization of the economy, deepen technology exchange and cooperation of the securities industry, facilitate coordination and communication among the capital markets of the Guangdong-Hong Kong-Macao Greater Bay Area, and further promote the digitalization of the capital markets in China. CSRC Vice Chairman Li Chao, HKEX CEO Nicolas Aguzin and SZSE President & CEO Sha Yan addressed the conference via video streaming. IT heads of SZSE, HKEX and GFEX shared their views on digitalization strategies and practices. A total of more than 2,500 people including relevant department heads of the CSRC and leaders of its subordinated units, IT management and backbone staff of institutions from securities, fund and futures markets in mainland China and Hong Kong, managers of mainland high-tech companies, and IT experts and scholars from universities and scientific research institutes, attended the conference online.
MIAX Options: Extension Of SPIKES Options Market Maker Incentive Program Until Friday, March 31, 2023

Date 20/12/2022

This MIAX Options Regulatory Circular, dated December 20, 2022 (MIAX Options Regulatory Circular 2022-78), updates and supersedes, in its entirety, MIAX Options Regulatory Circular 2022- 55 dated September 26, 2022.
SEC Charges Former CEO Of Biotech Company CytoDyn With Fraud, Insider Trading - Research Firm CEO Who Interacted With FDA On Company’s Behalf Also Charged

Date 20/12/2022

The Securities and Exchange Commission today charged Nader Pourhassan, the former CEO of CytoDyn Inc., with fraud and insider trading in connection with providing misleading information to shareholders about the progress of a clinical research treatment for COVID-19 and HIV.

British Columbia Securities Commission: Today’s Younger Investors More Speculative In Their Investing

Date 20/12/2022

Young adults today are increasingly taking on more risk by investing in specific companies, according to new research commissioned by the B.C. Securities Commission (BCSC).
BOX Options Market: Enhanced Reject Messages For QOO And QCC In FIX Protocol

Date 20/12/2022

Beginning January 16th, 2023, BOX Options Market LLC (“BOX”) will disseminate enhanced Error Text (Tag 58) messages through FIX when a Qualified Open Outcry (“QOO”) Order or Qualified Contingent Cross (“QCC”) Order is rejected.
OCC Announces Two Executive Leadership Promotions - Dan Busby To Succeed Retiring COO Scot Warren; Mike Hansen To Become Chief Clearing And Settlement Services Officer

Date 20/12/2022

OCC, the world's largest equity derivatives clearing organization, today announced the promotion of two individuals on its executive leadership team.
Concurring Statement Of CFTC Commissioner Goldsmith Romero On The Importance Of Protecting Commodity Markets Against Excessive Speculation In CFTC v. Commodity Broker CHS Hedging

Date 20/12/2022

One of the Commission’s core functions is to ensure that derivatives markets have integrity and that there is no market manipulation and excess speculation that can artificially increase prices. This function is particularly important since the pandemic, when families have faced hard choices at the grocery store given increased costs of food. In order to prevent excessive speculation, the Commission requires limits on trader positions—limits set by exchanges, and enforced against market participants. Brokers (referred to as futures commission merchants (FCMs)) serve as critical gatekeepers in preventing excessive speculation.
Statement Of CFTC Commissioner Kristin N. Johnson Regarding The Importance Of Futures Commission Merchants’ Compliance And The Need To Heighten The Consequences Of Failing To Comply

Date 20/12/2022

Today, the Commodity Futures Trading Commission (Commission or CFTC) issued a complaint and settlement order involving CHS Hedging, LLC (CHS), a registered futures commission merchant (FCM). The order details many egregious violations, including CHS’s failure to comply with basic recordkeeping and supervisory obligations.