News Centre

CFTC Orders Two Florida Men To Pay $280,000 For Registration And Reporting Violations

Date 27/01/2022

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Dennis K. Thomas and John J. Bartoletta, both Florida residents, for registration and reporting violations under the Commodity Exchange Act (CEA) and CFTC regulations. Specifically, the order finds that Thomas acted as an unregistered associated person (AP) of a commodity pool operator (CPO) and failed to comply with requirements related to CPO reporting and recordkeeping, and Bartoletta acted as an unregistered AP of a CPO and as an unregistered commodity trading advisor (CTA). The order requires Thomas and Bartoletta to pay, jointly and severally, a $280,000 civil monetary penalty and to cease and desist from further violations of the CEA and CFTC regulations, as charged.

Moscow Exchange: Risk Parameters Changes For The Securities SQ-RM, GNRC-RM And TXT-RM

Date 27/01/2022

Please follow the links below to access the information:

Risk parameters change for the security SQ-RM
Risk parameters change for the security GNRC-RM
Risk parameters change for the security TXT-RM
Risk parameters change for the security TXT-RM

Canadian Securities Regulators Seek Comment On The Proposed Modernization Of The Prospectus Filings Model For Investment Funds

Date 27/01/2022

The Canadian Securities Administrators (CSA) today published for comment a two-staged proposal to modernize the prospectus filing model for investment funds.

Moscow Exchange: Risk Parameters Changes For The Securities RUN-RM And TROW-RM

Date 27/01/2022

Please follow the links below to access the information:

Risk parameters change for the security RUN-RM
Risk parameters change for the security TROW-RM

Dissenting Statement On Reopening Of Comment Period For Pay Versus Performance, Commissioner Hester M. Peirce, Jan. 27, 2022

Date 27/01/2022

While I agree that we should move forward on this nearly twelve-year-old Dodd-Frank rulemaking mandate, I do not agree with the approach taken in this release. Instead of fixing critical shortcomings of the 2015 Proposing Release, the re-opening release doubles down on a flawed proposal and raises the prospect of additional disclosure requirements. 

DigiShares Announces Tokenization Of Real-World Assets On Binance Smart Chain

Date 27/01/2022

DigiShares today announced that their platform for real estate tokenization now fully supports the Binance Smart Chain for both token minting, token trading, tokenized share cap table management, as well as payment of dividends.

Moscow Exchange: Risk Parameters Change For The Security LRCX-RM

Date 27/01/2022

As per the Securities market risk parameters methodology, on 27.01.2022, 20-13 (MSK) the lower bound of the price band (up to 39227) and initial margins (up to 30 %) for the security LRCX-RM were changed. New values are available here

SEC Reopens Comment Period For Pay Versus Performance

Date 27/01/2022

The Securities and Exchange Commission today reopened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of information reflecting the relationship between executive compensation actually paid by a company and the company's financial performance.

Keynote Address Of CFTC Chairman Rostin Behnam At The ABA Business Law Section Derivatives & Futures Law Committee Virtual Winter Meeting

Date 27/01/2022

Good afternoon.  I am delighted to join you virtually today for my first keynote as CFTC Chairman.  I want to thank Katie Trkla and the Vice-Chairs and Conference Chairs for holding this important event and for including me and so many of our key CFTC leaders.

ACER Thanks Dr Jochen Penker, Chair Of The Administrative Board, And Welcomes Mr Michel Thiollière As The New Chair

Date 27/01/2022

Today marks a changing of the guard for the ACER Administrative Board, with Mr Thiollière taking over from Dr Jochen Penker as the Administrative Board Chair.