News Centre

ASIC Successfully Appeals Federal Court Decision On Voluntary Disclosure Regime

Date 07/02/2025

The Full Federal Court has upheld ASIC’s appeal in its case against Noumi’s former managing director and CEO Rory Macleod, finding that providing documents to ASIC pursuant to a Voluntary Disclosure Agreement does not necessarily waive any valid legal professional privilege (LPP) claim.

Japan Financial Services Agency: "Cold Calling" - Investors Alert

Date 07/02/2025

1. Today, so-called "Cold Calling," a fraudulent practice aimed at soliciting investors, is conducted all over the world. "Cold-calling" is a practice where by an entity disguises itself as a brokerage firm or an asset management firm and approaches potential investors via non face-to-face channels, such as by phone, fax, and emails, in order to solicit investment in securities or financial products. Typically, a "cold caller" makes unsolicited calls to potential investors, cajoles them into deciding to purchase certain securities, and then, becomes unavailable for contact after the investor sends the money for that purchase. As a result, the investors cannot obtain the securities although they made the payment, and they also cannot get back the money they paid. Investors need to be more careful and vigilant, as cold callers have been using more varied and more sophisticated tactics. (For example, some cold callers execute transactions properly and make profits for investors at first. Then, they solicit bigger transaction and make the investors transfer the money for it. After that, the cold callers disappear.)

CFTC Statement On False Allegations Targeting Acting Chairman

Date 06/02/2025

The following is attributable to a Commodity Futures Trading Commission spokesperson:

Allegations by unnamed sources in a Bloomberg article attempting to smear Acting Chairman Caroline D. Pham are baseless, were not fact-checked with the CFTC, and an unfortunate attempt by disgruntled individuals that are under investigation to distract from the CFTC’s important mission. Pham’s tenure has been marked by pushes for improved transparency, adherence to the law, and management accountability. 

CFTC Commissioner Johnson To Speak At SIFMA’s C&L 2025 Annual Seminar

Date 06/02/2025

CFTC Commissioner Johnson To Speak At FIA Boca50

Date 06/02/2025

WHAT:

Commissioner Kristin N. Johnson will speak on a panel titled “The Changing Face of Clearing” at FIA Boca50.

WHEN:

Tuesday, March 11, 2025
9:50 a.m. (EDT)

WHERE:

The Boca Raton
501 E Camino Real
Boca Raton, FL 33432

Additional Information: FIA Boca50

David Gillers To Step Down As CFTC Chief Of Staff

Date 06/02/2025

The Commodity Futures Trading Commission today announced that David Gillers will step down as Chief of Staff to Commissioner Behnam on February 7. From 2021 until January 20, 2025, Mr. Gillers served as Chief of Staff and Chief Operating Officer of the agency, in which capacity he was the lead advisor to then-Chairman Rostin Behnam on legal, policy and administrative matters, and was responsible for the commission’s daily operations and its 1,000 personnel. Mr. Gillers joined the agency in July 2019 as Commissioner Behnam’s Chief of Staff, and has not announced plans. 

TMX Group Consolidated Trading Statistics - January 2025

Date 06/02/2025

TMX Group Limited today announced January 2025 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha), including Alpha-X & Alpha DRK, and Montréal Exchange (MX).

Nodal Exchange Achieves January Trading Records In Power And Environmental Markets

Date 06/02/2025

Nodal Exchange announced new trading records in power and environmental markets today. Nodal surpassed last January’s volume and achieved a calendar month record with traded volume of 282.6 million MWh, up 5% from January 2024. Nodal continues to be the North American power market leader ending January at 1.43 billion MWh of futures open interest, a 57% market share.

ESMA’s Conference “Shaping The Future Of EU Capital Markets” Results

Date 06/02/2025

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator and supervisor, welcomed 300 participants in person (and around 1000 more connected online) to its key conference in Paris. During a successful day we heard keynote speeches from Maria Luís Albuquerque, Commissioner for Financial Services and the Savings and Investments Union, Jacques de Larosière, author of the Larosière report, and Verena Ross, Chair of ESMA.

EBA Reflects On The Short/Medium Term Objectives Of Its Interest Rate Risk In The Banking Book Heatmap

Date 06/02/2025

The European Banking Authority (EBA) today published a Report on the short to medium term objectives of its interest rate risk in the banking book (IRRBB) Heatmap, including observations and recommendations to institutions and supervisors.