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UAE Securities And Commodities Authority Holds Customer Voice Forums To Gather Input And Feedback On Its Services

Date 01/07/2022

H.E. Dr. Maryam Butti Al Suwaidi, Chief Executive Officer of the Securities and Commodities Authority (SCA), met with customers in an open virtual meeting to promote effective communication with them, get their suggestions and input, and identify the immediate challenges facing them when applying for SCA’s services.
ASIC To Communicate Negative Audit Review Findings To Directors

Date 01/07/2022

ASIC has announced that it will routinely communicate negative findings from its reviews of audit files to directors, rather than the current exception basis.
Shenzhen Stock Exchange Approves The First CSI SEEE Carbon Neutral ETFs

Date 01/07/2022

On June 28, CSI SEEE carbon neutral ETFs with four fund managers (namely, China Southern Asset Management, ICBC Credit Suisse, China Merchants Fund and Dacheng Fund) were approved. The issuance and listing of relevant products will soon be launched on SZSE. This is an important move by SZSE, together with the mutual fund industry, to conscientiously implement the national 14th Five-Year Plan, give full play to the role of market in resource allocation and promote the attainment of the goal of carbon peaking and carbon neutrality. It will further diversify the “dual carbon” fund sector of SZSE and channel market funds into the low-carbon and sustainable development fields.
Montréal Exchange's Markets Closed Today, July 1, 2022

Date 01/07/2022

The Exchange's markets are closed today, July 1, 2022.
READOUT: US Secretary Of The Treasury Janet L. Yellen’s Meeting With The President’s Working Group On Financial Markets, The OCC, FDIC And CFPB On Stablecoins

Date 01/07/2022

U.S. Secretary of the Treasury Janet L. Yellen convened principals representing the President’s Working Group on Financial Markets, in addition to the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation and the Consumer Financial Protection Bureau, today to discuss stablecoin risks and how legislation could contribute to the existing regulatory framework.

Statement On Decision In Bench Trial Of Mark Heckele, Gurbir S. Grewal, SEC Director, Division Of Enforcement

Date 30/06/2022

After a 2-day bench trial, the Honorable Mark C. Scarsi in the Central District of California found Mark Heckele liable for securities fraud and illegally selling securities in unregistered offerings.
US Justice Department Announces Enforcement Action Charging Six Individuals With Cryptocurrency Fraud Offenses In Cases Involving Over $100 Million In Intended Losses

Date 30/06/2022

The Department of Justice, together with federal law enforcement partners, today announced criminal charges against six defendants in four separate cases for their alleged involvement in cryptocurrency-related fraud, including the largest known Non-Fungible Token (NFT) scheme charged to date, a fraudulent investment fund that purportedly traded on cryptocurrency exchanges, a global Ponzi scheme involving the sale of unregistered crypto securities, and a fraudulent initial coin offering.
CFTC Charges Commodity Pool Operators And Florida Company With Fraudulently Solicitating Over $41.6 Million In A Commodity Pool Scheme

Date 30/06/2022

The Commodity Futures Trading Commission today announced it has filed a civil enforcement action in the U.S. District Court for the Southern District of Florida against Emerson Pires and Flavio Goncalves, both Brazilian citizens who previously resided in Port Saint Lucie, Florida; Joshua Nicholas of Stuart, Florida; and Empires Consulting Corp., a Florida corporation. The complaint alleges the defendants fraudulently solicited, accepted, and pooled at least $41.6 million, including more than $14.3 million from individuals in the U.S., through commodity interest pools under the name EmpiresX. The complaint further alleges that Pires, Goncalves, and Empires Consulting misappropriated at least $5 million in pool participant funds.
Statement By The IMF Executive Board And Management On The Institutional Safeguards Review

Date 30/06/2022

Ensuring the highest standards of institutional governance and data and analytical integrity is paramount to the International Monetary Fund’s (IMF) ability to deliver on its mandate and its capacity to serve its member countries in an effective, evenhanded, and impartial manner. The IMF’s Executive Board is fully committed to maintaining these standards, and in concluding its review of the matters raised in the investigation of the 2018 World Bank’s Doing Business report in October 2021, the Executive Board noted that it had “confidence in the impartiality and analytical excellence of IMF staff and in the IMF’s robust and effective channels for complaint, dissent, and accountability”. The Board also noted that it would consider “possible additional steps to ensure the strength of institutional safeguards” in these areas. Accordingly, it launched a comprehensive review of the IMF’s institutional safeguards, with the aim of ensuring that the Fund’s systems reflect a robust governance structure which meets the highest standards.
Changes To BOX Rule 7170 Nullification And Adjustment Of Options Transactions Including Obvious Errors

Date 30/06/2022

Effective July 1, 2022, BOX Exchange, in coordination with all U.S. options exchanges, will update the existing harmonized Obvious Error rules and review procedures as outlined below: