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  • SEC Charges Perceptive Advisors For Failing To Disclose SPAC-Related Conflicts Of Interest

    Date 06/09/2022

    The Securities and Exchange Commission today charged New York-based investment adviser Perceptive Advisors LLC with failing to disclose conflicts of interest regarding its personnel’s ownership of sponsors of special purpose acquisition companies (SPACs) into which Perceptive advised its clients to invest.

  • Cboe To Launch New, Real-Time Canadian Equities Market Data Offering

    Date 06/09/2022

    • Cboe One Canada Feed to provide a comprehensive and complete view into the Canadian equities market through a single consolidated feed
    • Will include unique coverage of more than 230 securities listed and traded exclusively on the NEO Exchange
    • Marks Cboe's first Canadian data product launch following its recent expansion into the country

  • Audit Quality And Investor Protection Under The Holding Foreign Companies Accountable Act, Paul Munter, SEC Acting Chief Accountant, Sept. 6, 2022

    Date 06/09/2022

    Introduction

    One of the recent central themes of the Office of the Chief Accountant has been that high-quality audits are foundational to the trust that underlies our capital markets. High-quality audits protect investors, instill shareholder confidence in the quality of the financial information, and enable public companies to raise capital efficiently. The investor protection afforded by high-quality audits is as important to U.S. investors in foreign companies that participate in the U.S. capital markets as it is for investors in domestic companies. In fact, it could be argued that the additional information barriers that may exist when investing in foreign companies makes the role of trusted gatekeepers, like auditors, even more critical for investors in foreign companies. Recently, we have observed instances of foreign issuers—especially foreign issuers located in the People’s Republic of China (“China”) or in Hong Kong—changing their lead auditor from a local registered public accounting firm to a registered public accounting firm located either in the U.S. or elsewhere, generally within the same network. Such arrangements pose special challenges that raise questions about whether the newly engaged registered public accounting firms—whether located in the U.S. or elsewhere—will be able to satisfy their responsibilities to serve as the lead auditor. Accordingly, we direct this statement to those newly engaged lead audit firms located outside of China and Hong Kong for issuer audits of companies based in China or Hong Kong and others who may be considering similar arrangements.

  • CFTC Charges Swap Dealer for Failure to Supervise Valuation Activities on Two Derivatives Trading Desks

    Date 06/09/2022

    The Commodity Futures Trading Commission today issued an order filing and settling charges against Natixis, a global bank and swap dealer, for failure to diligently supervise traders on the bank’s New York-based Interest Rate Derivatives Desk (IRD Desk) and its Equity Derivatives Flow and Solution Trading Desk (FAST Desk). The traders on the IRD Desk and FAST Desk separately engaged in misconduct by mismarking their positions for the purpose of either inflating profits and minimizing losses, or to “smooth” out returns, respectively. The order requires Natixis to pay a $2.8 million civil monetary penalty, cease and desist from violating applicable provisions of the Commodity Exchange Act (CEA) and CFTC regulations, and comply with certain conditions and undertakings. 

  • Vienna Stock Exchange: Andritz To Replace Voestalpine In ATX Five, Austrian National Index ATX Remains Unchanged

    Date 06/09/2022

    Today's review of the Austrian stock indices results in a change in the composition of the ATX five as well as new free float factors for two Austrian stocks. The composition of the national index ATX remains unchanged. Andritz AG will replace voestalpine AG in the ATX five due to the higher free float capitalization. The free float factor of S Immo AG decreases from 0.6 to 0.3 according to major holdings notifications (CPI PROPERTY GROUP S.A. increased its stake). Flughafen Wien AG's free float factor will be lowered from 0.2 to 0.1 following acquisitions by Airports Group Europe S.à r.l.. The free float factor expresses how many of a company's shares are held by the public and influences its weighting in the index. All changes will be effective as of 19 September 2022. The composition of Austrian indices will be reviewed again in March 2023, the free float factors on 6 December 2022.

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