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Readout: US Treasury Deputy Secretary Wally Adeyemo And US Deputy Attorney General Lisa O. Monaco - Russian Elites, Proxies, And Oligarchs (REPO) Task Force Deputies Meeting

Date 01/10/2022

Treasury Deputy Secretary Wally Adeyemo and Deputy Attorney General Lisa O. Monaco today convened the Russian Elites, Proxies, and Oligarchs (REPO) Task Force Deputies to accelerate oligarch asset forfeiture efforts in response to Russia’s illegal war in Ukraine.
ISDA Responds To ESMA On Clearing And Derivative Trading Obligations In View Of 2022 Benchmark Transition Status

Date 30/09/2022

ISDA members are overall supportive of ESMA’s consultation on adapting the derivatives clearing obligation (CO) in the context of the on-going interest rate benchmark reform. We also welcome that this consultation allows us to feed into the process again.
FINRA Extended Hearing Panel Expels NYPPEX, Bars Former CEO Laurence Allen and Suspends Current CEO and CCO Michael Schunk

Date 30/09/2022

FINRA announced today that an extended hearing panel has expelled broker-dealer NYPPEX, LLC and barred its former CEO Laurence Allen for failing to respond in a timely and complete manner to FINRA requests for information and documents. The panel also found that NYPPEX and Allen engaged in securities fraud. In addition, the panel barred NYPPEX’s current CEO and Chief Compliance Officer Michael Schunk in any principal or supervisory capacity for his failure to supervise Allen, and suspended him for two years in all capacities for engaging in other misconduct—the maximum suspension under FINRA’s sanction guidelines.
Ontario Securities Commission Alleges Fraud In Multimillion-Dollar Crypto Asset Offering

Date 30/09/2022

The Ontario Securities Commission (OSC) today filed allegations against Troy Richard James Hogg and affiliated companies in relation to an offering of crypto security tokens that raised US$51 million from investors.
Bahamas International Securities Exchange Q2, 2022 Statistical Report

Date 30/09/2022

Trading volume for the six-month period 4 January, 2022, to 30 June 2022, was 5,401,518 shares for a value of $ 33,233,120. By comparison, trading volume for the six-month period 2 January 2021, to 30 June 2021, was 7,295,041 shares for a value of $36,538,928.35.

MIAX: Proposed Rule Change To Change References In The Codes Of Arbitration Procedure From The Neutral List Selection System To The List Selection Algorithm

Date 30/09/2022

FINRA is proposing to change references in the Codes of Arbitration Procedure (‘‘Codes’’) from the Neutral List Selection System to the list selection algorithm.
US Federal Agencies Announce Forthcoming Resolution Plan Guidance For Large Banks And Deliver Feedback On Resolution Plan Of Truist Financial Corporation

Date 30/09/2022

The Federal Deposit Insurance Corporation and the Federal Reserve Board on Friday jointly announced they anticipate issuing guidance to help certain large banks further develop their resolution plans.
Statement Of Commissioner Christy Goldsmith Romero Regarding Enforcement Action And Settlement With Swap Execution Facility BGC Derivative Markets, L.P. - Systemic Swap Reporting Violations Harm Market Transparency And Integrity

Date 30/09/2022

Swap reporting is fundamental to post-crisis financial regulation – a critical tool for promoting transparency and market integrity in swap markets that used to be opaque. It has been a decade since the Commodity Futures Trading Commission (“CFTC”) implemented Dodd-Frank Act requirements for swap reporting. However, in my six months of serving as a CFTC Commissioner, I have seen multiple enforcement cases involving swap reporting failures, which is troubling.
Fluency's CBDC Technology Meets All Key ECB Foundation Design Aspects For A Digital Euro

Date 30/09/2022

The European Central Bank released on 29th September 2022, their latest progress report on the investigation phase of their digital euro project and elaborates on foundational design features approved by the Governing Council.
CFTC Orders Swap Execution Facility To Pay $1.9 Million For Swap Reporting And Core Principle Violations

Date 30/09/2022

The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against BGC Derivative Markets, L.P. (BGCD), a swap execution facility (SEF), for failing to report or accurately report thousands of swap transactions to the CFTC, a swap data repository (SDR), or the public; failing to timely correct reporting errors; and violating SEF Core Principles.