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Concurring Statement Of CFTC Commissioner Dawn D. Stump Regarding Settlement With Interactive Brokers LLC

Date 28/09/2021

I agree with the Commission’s finding that Interactive Brokers LLC (IB) violated CFTC Rule 166.3[1] by failing to diligently supervise its electronic trading system’s preparedness for, and ability to handle, negative crude oil futures prices as occurred on April 20, 2020.
US Department Of Justice: Indictment Unsealed Against Six Individuals And Foreign Financial Service Firm For Tax Evasion Conspiracy - Defendants Allegedly Used ‘Singapore Solution’ To Enable U.S. Clients To Evade Taxes On Over $60 Million Hidden Offshore

Date 28/09/2021

An indictment was unsealed today in New York, New York, that charges offshore financial service executives and a Swiss financial services company with conspiracy to defraud the IRS by helping three large-value U.S. taxpayer-clients conceal more than $60 million in income and assets held in undeclared, offshore bank accounts and to evade U.S. income taxes.
ISDA Research Note: Interest Rate Derivatives Trading Activity In The EU, UK And US: July 2021

Date 28/09/2021

ISDA has expanded its SwapsInfo analysis to include interest rate derivatives (IRD) trading activity reported in Europe. The analysis is based on transactions publicly reported by 30 European approved publication arrangements (APAs) and trading venues (TVs).
Concurring Statement Of CFTC Commissioner Dawn D. Stump Regarding Enforcement Action Against Payward Ventures, Inc. (d/b/a Kraken)

Date 28/09/2021

I concur with the Commission’s settlement Order regarding Payward Ventures, Inc. (d/b/a Kraken). As described in the Order:
FINRA, NASAA And SEC OIEA Urge Investors To Establish A Trusted Contact To Increase Investor Protection

Date 28/09/2021

In a combined effort to provide additional protection for investors, FINRA and the North American Securities Administrators Association (NASAA) today announced a new campaign urging investors to provide their financial firms with a trusted contact. The U.S. Securities and Exchange Commission’s Office of Investor Education and Advocacy (SEC OIEA) is also collaborating on this initiative.

CFTC Imposes A $1.25 Million Penalty Against Kraken For Offering Illegal Off-Exchange Digital Asset Trading And Failing To Register As Required

Date 28/09/2021

The Commodity Futures Trading Commission today issued an order filing and settling charges against respondent Payward Ventures, Inc. d/b/a Kraken (Kraken) for illegally offering margined retail commodity transactions in digital assets, including Bitcoin, and failing to register as a futures commission merchant (FCM). Kraken, founded in 2011, is one of the largest digital asset exchanges in the U.S.
Remarks By US Secretary Of The Treasury Janet L. Yellen To The National Association For Business Economics

Date 28/09/2021

Over the last year and half, the world has faced a shock due to COVID-19 that many of us did not see coming. Even those that did, likely could not have imagined the depth of the crisis—the loss of lives and livelihoods.
British Columbia Securities Commission Alleges Misconduct In Connection To Investor Relations Activities

Date 28/09/2021

The British Columbia Securities Commission (BCSC) is alleging that five B.C.-based companies did not clearly and conspicuously disclose that they had paid for promotional investment material.
CFTC Orders Interactive Brokers LLC To Pay A $1.75 Million Penalty For Supervision Failures - Failures For Electronic Trading System’s Inability To Handle Negative Crude Oil Futures Prices On April 20, 2020

Date 28/09/2021

The Commodity Futures Trading Commission today filed and simultaneously settled charges against Interactive Brokers LLC, a registered futures commission merchant, for failing to diligently supervise the handling of its customer accounts by not adequately preparing and configuring its electronic trading system to receive negative prices and calculate margin on April 20, 2020, in violation of CFTC Regulation 166.3.
SEC Atlanta Regional Office to Co-Host "Money and Markets: Trends and Risks for Retail Investors"

Date 28/09/2021

The Securities and Exchange Commission's Atlanta Regional Office and the University of Georgia School of Law will co-host a panel discussion on "Money and Markets: Trends and Risks for Retail Investors" on Thursday, Oct. 5, 2021, from 5-6:15 p.m. ET.