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Updates To Electronic Recordkeeping, SEC Chair Gary Gensler, Nov. 18, 2021
Date 18/11/2021
This week, the Commission voted unanimously in support of a proposal to update the electronic recordkeeping requirements for intermediaries such as broker-dealers and certain security-based swap dealers. This proposal updates an electronic recordkeeping rule adopted in 1997. A lot has changed with respect to database management, among other technologies, in the last 24 years. This proposal would bring the Commission’s rule in line with technological innovation, and I am pleased to support it.
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SEC Charges Promoter With Conducting Cryptocurrency Investment Scams
Date 18/11/2021
The Securities and Exchange Commission today announced that it charged Ryan Ginster of Corona, California with conducting two unregistered and fraudulent securities offerings that raised over $3.6 million in cryptocurrency from retail investors.
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Moscow Exchange: Risk Parameters Change For The Security BABA-RM
Date 18/11/2021
As per the Securities market risk parameters methodology, on 18.11.2021, 21-59 (MSK) the lower bound of the price band (up to 9663) and initial margins (up to 27 %) for the security BABA-RM were changed. New values are available here
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ESMA Publishes Its Preliminary Report On The EU Carbon Market
Date 18/11/2021
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published its Preliminary Report on the EU carbon market. The report responds to the request made by the European Commission (EC) to ESMA in its Communication on energy prices for a preliminary analysis of European emission allowances (EUAs) and derivatives on EUAs.
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CFTC Staff Extends Existing Temporary No Action Relief Related To Brexit
Date 18/11/2021
The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) and Market Participants Division (MPD) announced today that they are extending previously granted temporary no-action relief in connection with the withdrawal of the United Kingdom (UK) from the European Union (EU), known as Brexit.
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Moscow Exchange: Risk Parameters Change For The Security BILI-RM - Update
Date 18/11/2021
As per the Securities market risk parameters methodology, on 18.11.2021, 20-21 (MSK) the lower bound of the price band (up to 4368) and initial margins (up to 39 %) for the security BILI-RM were changed. New values are available here
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Moscow Exchange: Start Of Trading In SPB Exchange Ordinary Shares
Date 18/11/2021
Pursuant to the Moscow Exchange Listing Rules, on 18 November 2021, Chairman of the Executive Board made the decision to set 19 November 2021 to be the start date for trading in the following security:
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CFTC Adopts Technical Amendments To Rules Governing Reparations Proceedings
Date 18/11/2021
The Commodity Futures Trading Commission announced today that it has unanimously approved a final rule adopting technical amendments to the rules governing reparations proceedings. The amendments to Part 12 of CFTC regulations change the title of the Judgment Officer position to Administrative Judge and incorporate gender-neutral language, where applicable.
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Moscow Exchange To Start Trading In SBP Exchange Shares
Date 18/11/2021
Moscow Exchange plans to commence trading of ordinary shares of Public Joint Stock Company SPB Exchange (ticker SPBE, ISIN RU000A0JQ9P9) on 19 November 2021. The security is admitted to the Moscow Exchange Level 3 List.
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ESMA Proposes Changes To The Scope Of The Clearing And Derivative Trading Obligations For The Benchmark Transition
Date 18/11/2021
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published today its final report on the clearing (CO) and derivative trading (DTO) obligations to accompany the benchmark transition.
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