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SEC Charges Former CEO Of Biotech Company CytoDyn With Fraud, Insider Trading - Research Firm CEO Who Interacted With FDA On Company’s Behalf Also Charged
Date 20/12/2022
The Securities and Exchange Commission today charged Nader Pourhassan, the former CEO of CytoDyn Inc., with fraud and insider trading in connection with providing misleading information to shareholders about the progress of a clinical research treatment for COVID-19 and HIV.
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British Columbia Securities Commission: Today’s Younger Investors More Speculative In Their Investing
Date 20/12/2022
Young adults today are increasingly taking on more risk by investing in specific companies, according to new research commissioned by the B.C. Securities Commission (BCSC).
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BOX Options Market: Enhanced Reject Messages For QOO And QCC In FIX Protocol
Date 20/12/2022
Beginning January 16th, 2023, BOX Options Market LLC (“BOX”) will disseminate enhanced Error Text (Tag 58) messages through FIX when a Qualified Open Outcry (“QOO”) Order or Qualified Contingent Cross (“QCC”) Order is rejected.
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OCC Announces Two Executive Leadership Promotions - Dan Busby To Succeed Retiring COO Scot Warren; Mike Hansen To Become Chief Clearing And Settlement Services Officer
Date 20/12/2022
OCC, the world's largest equity derivatives clearing organization, today announced the promotion of two individuals on its executive leadership team.
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Concurring Statement Of CFTC Commissioner Goldsmith Romero On The Importance Of Protecting Commodity Markets Against Excessive Speculation In CFTC v. Commodity Broker CHS Hedging
Date 20/12/2022
One of the Commission’s core functions is to ensure that derivatives markets have integrity and that there is no market manipulation and excess speculation that can artificially increase prices. This function is particularly important since the pandemic, when families have faced hard choices at the grocery store given increased costs of food. In order to prevent excessive speculation, the Commission requires limits on trader positions—limits set by exchanges, and enforced against market participants. Brokers (referred to as futures commission merchants (FCMs)) serve as critical gatekeepers in preventing excessive speculation.
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Statement Of CFTC Commissioner Kristin N. Johnson Regarding The Importance Of Futures Commission Merchants’ Compliance And The Need To Heighten The Consequences Of Failing To Comply
Date 20/12/2022
Today, the Commodity Futures Trading Commission (Commission or CFTC) issued a complaint and settlement order involving CHS Hedging, LLC (CHS), a registered futures commission merchant (FCM). The order details many egregious violations, including CHS’s failure to comply with basic recordkeeping and supervisory obligations.
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CFTC Orders Minnesota Futures Commission Merchant To Pay $6.5 Million For Anti-Money Laundering, Risk Management, Recordkeeping, And Supervision Violations
Date 20/12/2022
The Commodity Futures Trading Commission announced today it has issued an order simultaneously filing and settling charges against registered futures commission merchant (FCM) CHS Hedging LLC, of Inver Grove Heights, Minnesota, for anti-money laundering (AML), risk management, recordkeeping, and supervision violations. These violations are primarily a result of CHS Hedging failing to implement an adequate AML program, particularly as applied to a futures and options trading account controlled by one of its customers. In addition, CHS Hedging failed to implement risk-based limits concerning trading by that customer.
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ACER: New Data Collection And Reporting Obligations For LNG Price Assessment – Register Now
Date 20/12/2022
On 24 November 2022, the Council reached political agreement on the Regulation “Enhancing solidarity through better coordination of gas purchases, reliable price benchmarks and exchanges of gas across borders”, which will soon enter into force.
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FSB Reports On Global Trends And Risks In Non-Bank Financial Intermediation
Date 20/12/2022
The Financial Stability Board (FSB) today published the Global Monitoring Report on Non-Bank Financial Intermediation 2022. The report presents the FSB’s annual monitoring exercise assessing global trends and risks in non-bank financial intermediation (NBFI).
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ESMA Supports Position Limits For TTF Gas Futures
Date 20/12/2022
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published an Opinion on the proposed position limits for the ICE Endex Dutch Title Transfer Facility (TTF) Gas contracts.
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