News Centre

Sustainable And Healthy Ecosystem For The Small-cap Stock Segment Of Hong Kong Market - Speech At Hong Kong Securities And Investment Institute Regulatory Luncheon - Julia Leung, Hong Kong Securities And Futures Commission Chief Executive Officer

Date 07/07/2023

Good afternoon, ladies and gentlemen. It’s my pleasure to speak to you at this event organised by the Hong Kong Securities and Investment Institute. Today, I will touch on a range of topics relating to the structure of our stock market, our efforts to rid the market of practices harmful to retail investors, and our vision to build a healthy ecosystem for the sustainable development of the small-cap stock segment.

Circular On Self-Regulatory Measures Taken By CFFEX In June 2023

Date 07/07/2023

To prevent market risks, maintain orderly operation of the market and protect investors’ legitimate rights and interests, China Financial Futures Exchange (CFFEX) took the following self-regulatory measures against violations of exchange rules in June 2023.

Cboe Global Markets Reports Trading Volume For June 2023

Date 06/07/2023

Cboe Global Markets, Inc. (Cboe: CBOE), the world's leading derivatives and securities exchange network, today reported June monthly trading volume statistics across its global business lines and provided guidance for selected revenue per contract/net revenue capture metrics for the second quarter of 2023.

CFTC Charges Unregistered Michigan Commodity Pool Operator and its President with $13 Million Fraud

Date 06/07/2023

The Commodity Futures Trading Commission filed a civil enforcement action in the U.S. District Court for the Eastern District of Michigan against Dwight A. Foster (Foster) and his firm K.E.L. Enterprises, Inc. (KEL), both based in the West Bloomfield, Michigan area. The complaint charges Foster and KEL with fraud, registration, and books and records violations relating to a multimillion-dollar fraudulent scheme that solicited and accepted approximately $13.2 million from customers in the U.S.

Cboe Global Markets Promotes Jill Griebenow To Chief Financial Officer

Date 06/07/2023

• Jill Griebenow, Senior Vice President, Chief Accounting Officer, appointed to serve as Executive Vice President, CFO, Treasurer and Chief Accounting Officer effective July 10, 2023
• Current CFO Brian Schell departing company to pursue new opportunity

Statement Of CFTC Commissioner Kristin N. Johnson Supporting Enforcement Action Against Bitcoin Fraud

Date 06/07/2023

Today, the Commodity Futures Trading Commission (CFTC or Commission) instituted a settled public administrative proceeding against Phillip J. Reichenthal (Reichenthal) and Randy Craig Levine (Levine), for engaging in digital asset fraud.

Canadian Securities Regulators Outline Expectations For Investment Funds Holding Crypto Assets

Date 06/07/2023

The Canadian Securities Administrators (CSA) today published guidance to help fund managers understand and comply with securities law requirements for public investment funds holding crypto assets (public crypto asset funds).

Statement Regarding Amicus Brief Filing In Murray v. UBS Securities, LLC, SEC Commissioner Hester M. Peirce, SEC Commissioner Mark T. Uyeda, July 6, 2023

Date 06/07/2023

On May 1, 2023, the Supreme Court of the United States granted certiorari in Murray v. UBS Securities, LLC.  Yesterday, the Commission joined an amicus brief filed by the Solicitor General in the Supreme Court, which supports the petitioner in that case.  We dissent from the decision to join the amicus brief for the reasons set forth below.

CFTC Charges Alleged Bitcoin Seller and Former Attorney with Multi-Million Dollar Bitcoin Fraud, Imposes Over $5 Million in Restitution

Date 06/07/2023

The Commodity Futures Trading Commission today issued two orders simultaneously filing and settling charges against Randy Craig Levine, formerly of Coral Gables, Florida, and Philip Reichenthal of Homestead, Florida, for perpetrating a multi-million dollar bitcoin fraud. 

TMX Group Consolidated Trading Statistics – June 2023

Date 06/07/2023

TMX Group Limited today announced June 2023 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange and Montréal Exchange.