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CFTC Commitments Of Traders Update

Date 18/12/2020

The current reports for the week of December 15, 2020 are now available.
Ontario Securities Commission Charges Principals Of Yonge Street Capital LLC With Securities Act Offences

Date 18/12/2020

The Ontario Securities Commission (OSC) announced today that Nathanael Anthony Aikman, who currently resides in Coquitlam, British Columbia, and Syed Saad Aziz and Jazib Ali Khan, both from the Toronto, Ontario area, have been charged with offences under the Securities Act (Ontario).
MIAX Exchange: Electronic Filing Of Annual Reports

Date 18/12/2020

MIAX Exchange Members are reminded that, in connection with the Regulatory Services Agreement between the Exchange and FINRA, the filing of annual reports has been transitioned to the electronic filing platform available via FINRA’s Firm Gateway.
SEC Charges Biotech Company And CEO With Fraud Concerning COVID-19 Blood Testing Device

Date 18/12/2020

The Securities and Exchange Commission today announced charges against California-based biotechnology company Decision Diagnostics Corp. and its CEO, Keith Berman, with making false and misleading claims in numerous press releases that the company had developed a working, break-through technology that could accurately detect Covid-19 through a quick blood test. The SEC temporarily suspended trading in Decision Diagnostics' securities on April 23, 2020.
Bermuda Stock Exchange Market Operations Suspended

Date 18/12/2020

Due to an island-wide power outages today, the Bermuda Stock Exchange has “suspended market operations until further notice.”

SEC Releases 2020 Office Of Credit Rating Reports

Date 18/12/2020

The Securities and Exchange Commission today issued the Annual Report on Nationally Recognized Statistical Rating Organizations (NRSROs) and the 2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization. The annual report discusses, among other topics, the state of competition, transparency, and conflicts of interest among the firms. The exam report provides a comprehensive overview of the Office of Credit Rating (OCR)’s examinations of the NRSROs, including, among other things, the staff’s essential findings and recommendations.
EU-UK Relations: European Parliament Adopts Temporary Contingency Measures

Date 18/12/2020

On Friday, Parliament adopted measures to ensure basic road and air connections in case no agreement is reached on EU-UK future relations.
SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million

Date 18/12/2020

The Securities and Exchange Commission today announced whistleblower awards in connection with three separate enforcement actions totaling over $3.6 million.
EU-UK: MEPs Still In Favour Of Agreement, But Welcome No-Deal Preparations

Date 18/12/2020

During the debate with Commission Vice-President Maroš Šefčovič and EU chief negotiator Michel Barnier, almost all speakers stressed that the Parliament prefers to sign a deal with the UK, but not at the cost of endangering the integrity of the single market.
Finansinspektionen: Financial Firms Must Be Restrictive With Dividends Until September 2021

Date 18/12/2020

In light of the economic uncertainty caused by the ongoing coronavirus pandemic, FI expects banks, including credit institutions and other financial firms such as insurance companies, to be restrictive with dividends and share buybacks until 30 September 2021. During this period, total dividends from and buybacks by the banks should not exceed 25 per cent of their aggregate net earnings for the two financial years 2019–2020.