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  • CFTC Issues Order Finding That Korea Exchange, Inc. Made A False And Misleading Certification To The CFTC

    Date 12/07/2019

    The Commodity Futures Trading Commission (CFTC) issued an Order today filing and simultaneously settling charges against Korea Exchange, Inc. (KRX) of Busan, South Korea, for making a false statement to the CFTC.  The Order finds that on February 19, 2018, KRX falsely represented in its annual certification that it was in compliance with the CFTC’s exemptive order requiring that KRX observe certain important international financial management standards. In fact, according to the Order, KRX had discovered that its policies and practices were inconsistent with those standards and had already begun remedial measures to address those failures.

  • SEC Staff Statement On LIBOR Transition - Division Of Corporation Finance, Division Of Investment Management, Division Of Trading And Markets, And Office Of The Chief Accountant[1]

    Date 12/07/2019

    LIBOR is an indicative measure of the average interest rate at which major global banks could borrow from one another.  LIBOR is quoted in multiple currencies and multiple time frames using data reported by private-sector banks.  LIBOR is used extensively in the U.S. and globally as a “benchmark” or “reference rate” for various commercial and financial contracts, including corporate and municipal bonds and loans, floating rate mortgages, asset-backed securities, consumer loans, and interest rate swaps and other derivatives.  It is expected that a number of private-sector banks currently reporting information used to set LIBOR will stop doing so after 2021 when their current reporting commitment ends, which could either cause LIBOR to stop publication immediately or cause LIBOR’s regulator to determine that its quality has degraded to the degree that it is no longer representative of its underlying market.  As regulators and market participants seek to avoid business and market disruptions resulting from the expected discontinuation of LIBOR, implementing alternative reference rates in advance of the discontinuation has taken on urgency.  As described in more detail below, the U.S. and other countries are currently working to replace LIBOR with alternative reference rates.

  • CFTC Commitments Of Traders Reports Update

    Date 12/07/2019

    The current reports for the week of July 12, 2019 are now available.

  • SEC Monitoring Impact Of Tropical Storm Barry On Capital Markets

    Date 12/07/2019

    The Securities and Exchange Commission is closely monitoring the impact of Tropical Storm Barry on investors and capital markets. 

  • CFTC Orders Vision Financial Markets LLC To Pay A $200,000 Penalty To Settle Charges That It Failed To Supervise Its Employees

    Date 12/07/2019

    The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Vision Financial Markets LLC(Vision), a securities broker dealer located in Stamford, Connecticut.  From at least May 1990 until April 2015, Vision was a registered futures commission merchant (FCM) and commodity pool operator.  The Order requires Vision to pay a civil monetary penalty of $200,000 and cease and desist from any further violations of the Commodity Exchange Act or CFTC Regulations.

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