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CFTC Swaps Report Update

Date 10/07/2019

CFTC's Weekly Swaps Report has been updated, and is now available.
SEC Charges Accountant And Friend In $6.2 Million Insider Trading Scheme

Date 10/07/2019

The Securities and Exchange Commission today filed insider trading charges against an accountant and her friend, whom she illegally tipped with confidential information in advance of her company’s quarterly performance announcements in exchange for all-expense paid travel and other expensive gifts. The alleged insider trading scheme generated profits of more than $6.2 million and was uncovered by the SEC through analysis and technology that it uses to detect suspicious trading activity.
Federal Court Permanently Enjoins Defendants And Orders Them To Pay Penalties And Restitution For Bitcoin Solicitation Fraud, Impersonating A CFTC Investigator, And Sending Forged CFTC Documents

Date 10/07/2019

On June 28, 2019, a Texas federal court ordered two defendants—one using the name Morgan Hunt (Hunt), purportedly of Arlington, Texas (Hunt), and the other using the name Kim Hecroft (Hecroft), purportedly of Baltimore, Maryland (together, Defendants)—to pay nearly $400,000 in civil monetary penalties and restitution in connection with a lawsuit alleging fraud brought by the Commodity Futures Trading Commission (CFTC).
Minutes Of The Federal Open Market Committee, June 18-19, 2019

Date 10/07/2019

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on June 18-19, 2019. A summary of economic projections made by Federal Reserve Board members and Reserve Bank presidents for the meeting is also included as an addendum to these minutes.
CFTC Staff Provide Guidance, No-Action Relief For FCM Separate Account Practices

Date 10/07/2019

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) and Division of Clearing and Risk (DCR) today issued a joint DSIO staff advisory interpretation and DCR time limited no-action relief letter related to the treatment of separate accounts by futures commission merchants (FCMs). This advisory and no-action relief letter address CFTC Regulation 1.56 and its prohibition on limited recourse and FCM margining practices for customers with more than one futures account.

Municipal CUSIP Request Volume Increases For Sixth Straight Month - Volume For Corporate And International Asset Classes Largely Flat In June

Date 10/07/2019

CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for June 2019. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity over the next quarter, found a sixth consecutive increase in requests for new municipal debt identifiers, while other major asset classes were flat in June.
CFTC Commissioner Behnam Announces The Establishment Of The Market Risk Advisory Committee’s Climate-Related Market Risk Subcommittee And Seeks Nominations For Membership

Date 10/07/2019

Commodity Futures Trading Commission (CFTC or Commission) Commissioner Rostin Behnam announced today that the Commission has voted to establish the Climate-Related Market Risk Subcommittee (Subcommittee) under the CFTC’s Market Risk Advisory Committee (MRAC). Commissioner Behnam, sponsor of the MRAC, is seeking nominations for membership on the Subcommittee through a formal request in the Federal Register. The deadline for submissions is September 9, 2019.
EBA Welcomes Publication By The European Court Of Auditors Of Special Report On The EU-Wide Stress Test

Date 10/07/2019

The European Banking Authority welcomed today's publication by the European Court of Auditors (ECA) of a special Report on the EU-wide stress test titled "EU-wide stress tests for banks: unparalleled amount of information on banks provided but greater coordination and focus on risks needed". The EBA acknowledged the efforts made by the ECA in providing valuable insights to improve the efficiency of the EU-wide stress test in the future.
Deutsche Boerse Group: Business Indicators For June 2019

Date 10/07/2019

Attached please find a summary of Deutsche Börse Group's business indicators for June 2019.
UK Financial Conduct Authority: Senior Managers And Certification Regime: Finalising FCA Rules

Date 10/07/2019

We have been working closely with HM Treasury on preparation of the Commencement Order needed to enable the FCA to publish final rules on the extension of the Senior Managers and Certification Regime (SM&CR).