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Montréal Exchange Interest Rate Derivative Trading Ceases At 13:30 Today - Exchange's Markets Closed July 1, 2022

Date 30/06/2022

Interest rate derivative trading will cease at 1:30 p.m. today, June 30, 2022. Furthermore, the Exchange's markets will be closed on July 1, 2022.
Fonterra, NZX And EEX Confirm GDT Strategic Partnership

Date 30/06/2022

Fonterra today confirms the finalisation of the strategic partnership with New Zealand’s Exchange (NZX) and the European Energy Exchange (EEX) to each take ownership stakes in Global Dairy Trade (GDT) alongside the Co-op.
Council Of The EU Presidency And European Parliament: Anti-Money Laundering: Provisional Agreement Reached On Transparency Of Crypto Asset Transfers

Date 29/06/2022

The EU is making it more difficult for criminals to misuse crypto currencies for criminal purposes. Negotiators from the Council presidency and the European Parliament have reached a provisional agreement on the proposal updating the rules on information accompanying the transfers of funds by extending the scope of those rules to transfers of crypto assets. The introduction of this “travel rule” will ensure financial transparency on exchanges in crypto-assets and will provide the EU with a solid and proportional framework that complies with the most demanding international standards on the exchange of crypto-assets, in particular recommendations 15 and 16 of the Financial Action Task Force (FATF), the global money laundering and terrorist financing watchdog. This is especially timely in the current geopolitical context.
UBS To Pay $25 Million To Settle SEC Fraud Charges Involving Complex Options Trading Strategy

Date 29/06/2022

The Securities and Exchange Commission today announced that UBS Financial Services Inc. has agreed to pay approximately $25 million to settle fraud charges relating to a complex investment strategy referred to as YES, or Yield Enhancement Strategy.
MIAX Options: Extension Of SPIKES Options Market Maker Incentive Program Until September 30, 2022

Date 29/06/2022

MIAX Options has extended the monthly Market Maker Incentive Program (the “Incentive Program”) for SPIKES Options until September 30, 2022.

Denver Regional Director Kurt L. Gottschall To Leave SEC - Jason J. Burt And Thomas M. Piccone Named Acting Co-Heads Of Denver Office

Date 29/06/2022

The Securities and Exchange Commission today announced that Kurt L. Gottschall, the Director of the Denver Regional Office since 2018, is leaving the agency after more than 22 years of service. Jason J. Burt and Thomas M. Piccone will become the office’s Co-Acting Regional Directors when Mr. Gottschall departs in early July.
FINRA Publishes Independent Counsel’s Report On Arbitrator Selection Process - Report Finds No Evidence Of Improper Agreement To Remove Arbitrators From Cases - FINRA To Implement Recommendations To Provide Greater Transparency

Date 29/06/2022

FINRA today published the report of independent counsel Lowenstein Sandler LLP, which found no evidence of an improper agreement to remove certain arbitrators from arbitration cases. FINRA also said it would promptly implement the report’s recommendations to provide greater transparency to the arbitrator selection process.
Canadian Securities Administrators 2021-2022 Enforcement Report Highlights Canadian Securities Regulators’ Actions To Pursue Wrongdoing And Hold Securities Law Violators Accountable - Wide-Ranging Actions Included Disrupting Ongoing And Illegal Activity And Enhancing Technology And Analytics Capabilities To Tackle Evolving Threats And Emerging Trends

Date 29/06/2022

The Canadian Securities Administrators (CSA) today released its fiscal year 2021-2022 Enforcement Report, which outlines the specific actions that CSA members undertook in the past year to detect, disrupt and deter wrongdoing and hold securities law violators accountable.
Multi-Leg QOO Orders On The BOX Trading Floor – UPDATE

Date 29/06/2022

BOX Options Market LLC (“BOX”) will allow multi-leg Qualified Open Outcry (“QOO”) Orders on the BOX Trading Floor to be quoted and executed in $0.01 increments regardless of minimum increment otherwise applicable to the individual legs of the multi-leg QOO Order.
CFTC Commissioner Summer Mersinger Seeks Nominations For The Energy And Environmental Markets Advisory Committee Associate Membership And Potential Discussion Topics

Date 29/06/2022

Commodity Futures Trading Commission Commissioner Summer K. Mersinger, sponsor of the CFTC’s Energy and Environmental Markets Advisory Committee (EEMAC), is seeking nominations for associate membership of the EEMAC and potential topics for future EEMAC meetings through a formal request for submissions in the Federal Register. The deadline for submissions is July 13, 2022.