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FIA May 2021 SEF Tracker

Date 17/06/2021

Trading volume on swap execution facilities reached $757.1 billion in average notional value per day during May 2021. This was 1.4% up from the previous month and up 11.7% from the same month, previous year.

New York Attorney General James Sues Lear Capital And Founder For Defrauding New Yorkers Out Of $10 Million In Precious Metal Investment Scam - Lear Defrauded New Yorkers Out Of A Third Of Investments

Date 17/06/2021

New York Attorney General Letitia James today filed a lawsuit against Lear Capital (Lear) and its founder, Kevin DeMeritt, for cheating nearly 1,000 New Yorkers out of approximately $10 million. In the petition, Attorney General James alleges that Lear persuaded investors — including many elderly residents of Western New York who were seeking to safeguard their retirement savings — to invest tens of millions in precious metals, primarily coins. Lear did this while fraudulently charging undisclosed commissions — up to 33 percent — on more than $43 million in sales. Lear targeted New Yorkers’ individual retirement accounts and other savings, and charged hidden commissions that instantly reduced New Yorkers’ investments by as much as one-third — unlawfully profiting approximately $10 million at the commencement of these investments. Lear also perpetrated its scheme while not being registered as a commodity broker-dealer, commodity investment advisor, or a telemarketer — all as required by New York law.
SIFMA Fixed Income Market Close Recommendations In The U.S., The U.K. And Japan For The U.S. Independence Day Holiday

Date 17/06/2021

SIFMA has confirmed its previous holiday recommendations for the trading of U.S. dollar-denominated fixed income securities in the U.S., the U.K., and Japan in observance of the U.S. Independence Day Holiday.
Ontario Securities Commission Seeks Applications For Mediation Program

Date 17/06/2021

The Ontario Securities Commission (OSC) is seeking applications from qualified mediators interested in serving on the Enforcement Branch’s Mediation Program (the program) roster. As independent and neutral third parties, mediators help parties reach agreement on issues arising from enforcement proceedings, such as an agreed statement of facts.

CFTC Commissioner Berkovitz To Participate On A Panel At The D.C. Bar

Date 17/06/2021

WHAT:	Commissioner Dan M. Berkovitz will participate on the panel, The Legal Profession and Racial Inequality - One Year Later: Has Progress Been Made? What Challenges Remain? presented by the D.C. Bar Communities
WHEN:	Wednesday, June 23, 2021 12:00 p.m. - 1:30 p.m. (EDT)
WHERE:	Virtual event. More information here: COMM 3RD 6/23/21 C0321DI31W Legal Prof. & Racial (magnetmail.net)

Autorité des Marchés Financiers: 2020-2021 Enforcement Report Published - Positive Results Amid The Pandemic

Date 17/06/2021

The Autorité des marchés financiers (AMF) today published its Enforcement Report for the 2020-2021 fiscal year (pdf - 567 KB)This link will open in a new window.

CFTC Commissioner Stump To Participate In A Fireside Chat At The “Shining A Light On Digital Assets Market 2021” Conference

Date 17/06/2021

WHAT:	Commissioner Dawn D. Stump will participate in a Fireside Chat with European Commission Adviser Peter Kerstens at the “Shining a Light on Digital Assets Market 2021” conference presented by the Association for Digital Asset Markets (ADAM) and Eventus
WHEN:	Wednesday, June 23, 2021 10:40 a.m. (EDT)
WHERE:	Virtual event. More information here: Shining a Light on Digital Asset Markets 2021

SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze

Date 17/06/2021

The Securities and Exchange Commission today announced that it has obtained an asset freeze and other emergency relief, and filed fraud charges, against a Miami-based investment professional and two investment firms for engaging in an alleged “cherry-picking” scheme in which they channeled millions of dollars in trading profits to preferred accounts.
The Updated Coefficients For Moscow Exchange Indices To Come Into Force

Date 17/06/2021

The following coefficients for Moscow Exchange indices come into force from June 18, 2021:
Cboe Plans to Launch Enhanced Block Trading Service In Canada, Further Expanding BIDS Trading Globally

Date 17/06/2021
- Planned offering builds on success of Cboe LIS, one of the largest block trading platforms in Europe-
- Integrates capabilities from MATCHNow and BIDS Trading - two industry leaders in block trading
- Adds to Cboe's growing suite of products and services in geographies beyond the U.S.- Enables expansion of BIDS' block trading platform into Canada