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CFTC To Hold An Open Commission Meeting On June 4

Date 28/05/2020

Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC will hold an open meeting on Thursday, June 4, 2020 at 10:00 a.m. (EDT). The meeting will be held via conference call in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic.
SEC Issues Agenda For June 1 Meeting Of The Fixed Income Market Structure Advisory Committee

Date 28/05/2020

The Securities and Exchange Commission today released the agenda for the June 1 meeting of the Fixed Income Market Structure Advisory Committee (FIMSAC). The Commission established the FIMSAC to provide a formal mechanism through which the Commission can receive advice and recommendations on fixed income market structure issues.
CFTC Unanimously Approves An Interim Final Rule And A Proposed Rule At May 28 Open Meeting

Date 28/05/2020

The Commodity Futures Trading Commission at its open meeting today unanimously approved an interim final rule to grant an extension of the compliance schedule for initial margin requirements for uncleared swaps in response to operational challenges certain entities are facing due to the COVID-19 (coronavirus) pandemic. The Commission also unanimously approved a proposed rule which provides an exemption from registration as a commodity pool operator (CPO) for certain foreign persons.
Intercontinental Exchange Chairman & CEO Jeffrey C. Sprecher To Present At The Piper Sandler Global Exchange & FinTech Conference On June 4

Date 28/05/2020

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, announced today that Jeffrey C. Sprecher, Chairman and CEO, will present at the Piper Sandler Global Exchange and FinTech Conference. The presentation will take place on Thursday, June 4 at 10:30 a.m. ET. The presentation will be available live and in replay via webcast and can be accessed in the investor relations and media section of ICE’s website at http://ir.theice.com/.
Remarks Of CFTC Director Of Enforcement James Mcdonald At Futures Industry Association Fireside Chat

Date 28/05/2020

Thank you for that introduction and thanks to all the folks at FIA for hosting me. And thank you all for being with us today, if only virtually. We at the CFTC are wishing everyone the best, and hoping all of you stay safe and healthy during this difficult time. We look forward to being back together in person, hopefully before too long.

FINRA Sanctions Stifel, Nicolaus & Co., Inc. More Than $3.6 Million For Violations Involving Unit Investment Trusts

Date 28/05/2020

FINRA announced today that it has ordered Stifel, Nicolaus & Company, Incorporated to pay approximately $1.9 million in restitution, plus interest, to more than 1,700 customers in connection with early rollovers of Unit Investment Trusts (UITs). FINRA also fined the firm $1.75 million for providing inaccurate information to customers related to rollover costs incurred, and for related supervisory violations.
SEC: Unregistered $25.5 Million ICO Issuer To Return Money For Distribution To Investors

Date 28/05/2020

The Securities and Exchange Commission today announced charges against blockchain services company BitClave PTE Ltd. headquartered in San Jose, California, for conducting an unregistered initial coin offering (ICO) of digital asset securities. BitClave agreed to settle the charges by returning proceeds from the offering and paying additional monetary relief to be distributed to investors through a Fair Fund.
IIROC Nominates Three New Independent Directors To Its Board - New Directors Bring Significant Consumer Advocacy, Investor Protection And Pension Plan Experience

Date 28/05/2020

The Investment Industry Regulatory Organization of Canada (IIROC) today nominated candidates for three upcoming Independent Director positions on its Board – all of whom extensively meet the criteria of direct experience with seniors and/or vulnerable retail investors, consumers and pension plans.
Autorité Des Marchés Financiers: Publication Of The Enforcement Report For Fiscal Year 2019-2020 - A Positive Record In Enforcement

Date 28/05/2020

The Autorité des marchés financiers (the “AMF”) today published its Enforcement Report relating to the regulation of the Québec financial sector for fiscal year 2019-2020.
Concurring Statement Of CFTC Commissioner Dan M. Berkovitz On Interim Final Rule Extending Uncleared Swap Margin Compliance Date To Address COVID-19 Pandemic Related Issues

Date 28/05/2020

I concur with issuing the interim final rule to extend by one year the initial swap margin compliance deadline for “Phase V” financial entities that is currently set for September 1, 2020 (“IFR”).