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  • CFTC-SEC Joint Meeting, SEC Commissioner Hester M. Peirce, Oct. 22, 2020

    Date 23/10/2020

    Introduction

    It is such a pleasure to be participating in a joint meeting with our colleagues at the CFTC this morning.  Thank you, Commissioner Quintenz, for your kind comments.  One of the highlights of my time at the SEC has been working with you and the staffs of both Commissions on issues related to Title VII.  It is not the scintillating subject matter that has made that experience so fulfilling, but the shared commitment to preserving and strengthening our capital markets.  The cooperative efforts are an important milestone in a relationship that has not been without tensions over the years.  From our first interaction, Commissioner Quintenz has exhibited a practical, collaborative approach and a cheerful persistence in tackling difficult questions.  I credit Chairmen Clayton, Giancarlo, and Tarbert for giving us the room to work together and setting a cooperative tone from the top.  Continued commitment will be important as our agencies work through differences and toward our common objectives in the many areas in which we have shared interests.  We always will be stronger working together than going our separate ways.  That is exactly what we are doing today with this joint meeting.

  • US Federal Agencies Invite Comment On Proposed Rule Under Bank Secrecy Act

    Date 23/10/2020

    The Financial Crimes Enforcement Network (FinCEN) and the Federal Reserve Board today invited comment on a proposed rule that would amend the recordkeeping and travel rule regulations under the Bank Secrecy Act. FinCEN and the Board, pursuant to their shared authority, are proposing amendments to the recordkeeping rule jointly, while FinCEN, pursuant to its sole authority, is proposing amendments to the travel rule.

  • SEC Charges Day-Trading Education Firm For Unregistered Security-Based Swap Transactions

    Date 23/10/2020

    The Securities and Exchange Commission today charged Israeli company Tradenet Capital Markets Ltd. for offering and selling security-based swaps to over 5,000 retail investors without registration and for failing to transact its swaps on a registered national exchange.

  • LabCFTC Opens Registration For Final “Empower Innovation 2020” Event On November 17 - Agenda Features “Tech Talks,” Discussions About The “Future of Digital Finance” And CFTC’s Science Prize Competition Winner Announcement

    Date 23/10/2020

    The Commodity Futures Trading Commission today opened registration and released the agenda for LabCFTC’s third and final Empower Innovation 2020 session, “The Future of Digital Finance.” This interactive virtual series was developed to facilitate a dialogue on cutting-edge fintech innovation among innovators, regulators, market participants, and the public. [See CFTC Press Release No. 8198-20]

  • ESMA Consults On CCP Supervisory Reviews And Evaluation Processes

    Date 23/10/2020

    The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has launched today a consultation on guidelines addressing the consistency of supervisory reviews and evaluation processes of CCPs under Article 21 of EMIR.

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