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ASX Tax Transparency 2020

Date 20/08/2020

Click here to download the 2020 Tax Transparency Report.
SEC Adopts Requirements To Ensure Public Notice, Comment, And Approval Prior To Effectiveness Of NMS Plan Fees

Date 19/08/2020

The Securities and Exchange Commission today voted to rescind a rule exception that allowed a proposed national market system (NMS) plan fee amendment to become effective upon filing, prior to review and comment by investors and other market participants. The new procedures require public notice of any proposed NMS plan fee amendment, an opportunity for public comment, and Commission approval by order before a new or changed fee can be charged. The Commission also modified the procedures for review of all proposed NMS plans and plan amendments, including fee amendments, to specify timelines for Commission action for each step of the process, adding certainty to the process for NMS plan participants.
Unscheduled Changes In DAX Selection Indices - Wirecard AG To Be Deleted According To New Insolvency Rule - Delivery Hero SE To Be Added

Date 19/08/2020

On Wednesday, Qontigo’s global index provider STOXX Ltd. announced unscheduled changes to the DAX Selection Indices.
CFTC Swaps Report Update

Date 19/08/2020

CFTC's Weekly Swaps Report has been updated, and is now available.
US Department Of Justice: The Bank Of Nova Scotia Agrees To Pay $60.4 Million In Connection With Commodities Price Manipulation Schemedemonstration

Date 19/08/2020

The Bank of Nova Scotia (Scotiabank), a Toronto, Canada-based global banking and financial services firm, has entered into a resolution with the Department of Justice to resolve criminal charges related to a price manipulation scheme involving thousands of episodes of unlawful trading activity by four traders in the precious metals futures contracts markets.

New York Attorney General James Wins Court Argument Against Martin Shkreli And Company, Antitrust Lawsuit Will Continue Courts Rejects Vyera, Shkreli, And Mulleady’s Motions To Dismiss b- AG James Filed Lawsuit After Shkreli And Company Stifled Competition After Raising Drug Prices More Than 4,000 Percent

Date 19/08/2020

New York Attorney General Letitia James yesterday afternoon won a motion in the case against Vyera Pharmaceuticals — previously known as Turing Pharmaceuticals — and two of its former CEOs — including convicted criminal Martin Shkreli — after Shkreli and his company tried to dismiss a lawsuit filed by Attorney General James, six other states, and the Federal Trade Commission (FTC).
CFTC Orders The Bank Of Nova Scotia To Pay $50 Million For Swap Dealer Compliance And Supervision Failures And False Statements

Date 19/08/2020

The Commodity Futures Trading Commission issued an order today filing and settling charges against The Bank of Nova Scotia (BNS), a provisionally registered swap dealer, for swap dealer compliance failures, failing to supervise its swap dealer activities diligently, and making false or misleading statements to CFTC staff during the course of the Division of Enforcement’s investigation. The order finds that the violations occurred over a seven-year period.
Ontario Securities Commission Study Explores Retail Investor Responses To The COVID-19 Pandemicpilot

Date 19/08/2020

Investors have been confronted with unprecedented uncertainty during the COVID-19 pandemic. Understanding how the pandemic is affecting retail investor experiences and behaviours is key to protecting investors.
Richard R. Best Named Director Of SEC's New York Regional Office

Date 19/08/2020

The Securities and Exchange Commission today announced that Richard R. Best has been named Director of the New York Regional Office. Mr. Best will succeed Marc P. Berger, who has been named Deputy Director of the Division of Enforcement.
CFTC Orders The Bank Of Nova Scotia To Pay Record $77.4 Million For Spoofing And Making False Statements - Result Is The Largest Civil Monetary Penalty Ever Ordered In A Spoofing Case

Date 19/08/2020

The Commodity Futures Trading Commission today issued two orders filing and settling charges against The Bank of Nova Scotia (BNS), a provisionally registered swap dealer, arising from manipulative and deceptive conduct, spanning more than eight years and involving thousands of occasions of attempted manipulation and spoofing in gold and silver futures contracts traded on the Commodity Exchange, Inc. (COMEX). The combined orders require BNS to pay a total of $77.4 million in penalties and equitable relief, including a record-setting $17 million for making false and misleading statements to CFTC staff during the CFTC’s first investigation into the bank’s spoofing (False Statements Order), and a total of $60.4 million for spoofing and attempted manipulation (Spoofing Order). In addition to monetary sanctions, the Spoofing Order requires BNS to retain an independent compliance monitor.