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New Zealand Financial Markets Authority: Contributions Help KiwiSaver Continue To Grow Through COVID-19

Date 01/10/2020

KiwiSaver has continued to grow despite market volatility and economic uncertainty caused by COVID-19 , according to the Financial Markets Authority’s (FMA) KiwiSaver Annual Report for the year ended March 2020.
ASIC And Reserve Bank Of Australia Announce Expectations For CHESS Replacement

Date 01/10/2020

ASIC and the Reserve Bank of Australia (RBA) (the regulators) have outlined their expectations of ASX as it replaces the Clearing House Electronic Sub-register System (CHESS). This follows the release today of the RBA’s 2020 Assessment of ASX Clearing and Settlement Facilities.
CFTC Orders Morgan Stanley Capital Services LLC To Pay $5 Million For Swap Data Reporting Failures

Date 30/09/2020

The Commodity Futures Trading Commission today announced that it has filed and settled charges against Morgan Stanley Capital Services LLC, a provisionally registered swap dealer, for failing to comply with swap data reporting obligations.
CFTC Orders Chicago Broker To Pay Over $495,000 For Supervision Failures And Failure To Report Suspicious Activity

Date 30/09/2020

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against A&A Trading, Inc., a registered introducing broker located in Chicago, Illinois, for failing to file a suspicious activity report (SAR) and to diligently supervise its employees’ handling of certain customer accounts. The order requires A&A Trading to pay a civil monetary penalty of $400,000 and to disgorge $95,329 earned in connection with its violations. This action was brought in connection with the Division of Enforcement’s Bank Secrecy Act Task Force.
Ontario Securities Commission Requests New Members For The Registrant Advisory Committee

Date 30/09/2020

The Ontario Securities Commission (OSC) is seeking applicants for membership on its Registrant Advisory Committee (RAC).

Supporting Statement Of Commissioner Dan M. Berkovitz Regarding Sunoco Enforcement Action And Opposing “Bad Actor” Waiver

Date 30/09/2020

I support the Commission’s enforcement against Sunoco LP for the spoofing of the crude oil, gasoline, and heating oil futures markets. However, I oppose the CFTC’s determination that Sunoco’s conduct should not result in any disqualifications under the “bad actor” provisions of the securities laws. The CFTC has neither the authority to make this determination, nor the tools to adequately protect investors in the securities markets.
CFTC Orders Sunoco To Pay $450,000 For Spoofing In Crude Oil, Gasoline, And Heating Oil Futures Contracts

Date 30/09/2020

The Commodity Futures Trading Commission today issued an order filing and settling charges against Sunoco LP, a master limited partnership organized in Delaware and headquartered in Dallas, Texas, for spoofing—bidding or offering with the intent to cancel the bid or offer before execution.
Ontario Securities Commission Announces Activities For World Investor Week And Investor Education Month

Date 30/09/2020

The Ontario Securities Commission (OSC) today announced several investor education and outreach activities during World Investor Week and Investor Education Month in October. Ontarians are encouraged to participate virtually and learn about improving their finances and making informed investing decisions.
Federal Reserve Board Announces Approval Of Notice By Morgan Stanley

Date 30/09/2020

The Federal Reserve Board on Wednesday announced its approval of the notice under section 4 of the Bank Holding Company Act of 1956 and under section 163(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act by Morgan Stanley, New York, New York, to acquire E*TRADE Financial Corporation ("E*TRADE") and thereby indirectly acquire E*TRADE's subsidiary federal savings associations, E*TRADE Bank and E*TRADE Savings Bank, all of Arlington, Virginia.
CFTC Orders Texas Man To Pay Over $1 Million For Misappropriating Confidential Information, Fictitious Trading, And False Statements

Date 30/09/2020

The Commodity Futures Trading Commission today issued an order filing and settling charges against Marcus Schultz of Houston, Texas, for engaging in a fraudulent scheme to misappropriate his employer’s confidential information and enter into fictitious trades. Schultz is also charged with making false statements to the CFTC and ICE Futures US.