FTSE Mondo Visione Exchanges Index:
News Centre
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HKEX Introduces Fund Repository On Integrated Fund Platform
Date 13/12/2024
Hong Kong Exchanges and Clearing Limited (HKEX) is pleased to announce today (Friday) the launch of a Fund Repository on its Integrated Fund Platform (IFP), marking a significant step forward in enhancing transparency of fund information for Securities and Futures Commission (SFC) authorised funds in Hong Kong.
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Statement On CAT Cost Savings, SEC Chair Gary Gensler
Date 12/12/2024
Today, the Commission approved amendments to the 2016 National Market System Plan that established the Consolidated Audit Trail (CAT). I am pleased to support this amendment estimated to save $21 million annually while maintaining the core functionality of CAT.
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Dissenting Statement Regarding Recent SPAC Cases – Digital World Acquisition Corp., Northern Star Investment Corp. II, And Cantor Fitzgerald, L.P., SEC Commissioner Mark T. Uyeda, Dec. 12, 2024
Date 12/12/2024
Since July 2023, the Commission has brought three cases against special purpose acquisition companies (SPACs) and/or SPAC sponsors, charging them with fraud because they made false and misleading statements regarding the details of their communications with potential target companies. I have declined to support these cases because the alleged misstatements and omissions are not material, and I do not view the facts in the Order as demonstrating investor harm.
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SEC Charges Cantor Fitzgerald Over Misleading SPAC Disclosures
Date 12/12/2024
The Securities and Exchange Commission today charged global financial services firm Cantor Fitzgerald, L.P. with causing two special purpose acquisition companies (SPACs) that it controlled to make misleading statements to investors ahead of their initial public offerings (IPOs). Cantor Fitzgerald has agreed to pay a $6.75 million civil penalty to settle the SEC’s charges.
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US Department Of Justice: Early Bitcoin Investor Sentenced For Filing Tax Returns That Falsely Reported His Cryptocurrency Gains
Date 12/12/2024
An Austin, Texas, man was sentenced today to two years in prison for filing a tax return that falsely underreported the capital gains he earned from selling $3.7 million in bitcoins.
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CFTC Staff Issues Advisory Regarding Form 304 Submission Format Beginning January 15, 2025
Date 12/12/2024
The Commodity Futures Trading Commission’s Division of Market Oversight today issued an advisory notifying all merchants and dealers of cotton holding or controlling positions for future delivery in cotton (traders) that beginning next year they must submit the regulatory filing identified as “Form 304” through the CFTC’s online filings portal.
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SEC Charges Former Representative Of Advisory Firm SeaCrest With Cherry-Picking - Firm Settles SEC Charges Related To Former Employee’s Misconduct
Date 12/12/2024
The Securities and Exchange Commission today charged Eric Cobb of South Carolina with engaging in a fraudulent scheme where he allocated profitable securities trades to favored accounts and unprofitable trades to disfavored clients, a practice known as cherry-picking, while he was a representative of investment adviser SeaCrest Wealth Management, Inc. The SEC also announced settled charges against SeaCrest in connection with the scheme.
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CFTC Financial Data For Futures Commission Merchants Update
Date 12/12/2024
The latest reports for October 2024 are now available.
Additional information on Financial Data for FCMs market reports:
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CFTC: Federal Court Orders Minnesota Man And Two Companies To Pay Over $2 Million For Futures Fraud And Misappropriation
Date 12/12/2024
The Commodity Futures Trading Commission today announced the U.S. District Court for the District of Minnesota issued an order of default judgment against Richard “Rick” Miller and his company, Flip 2 Futures Trading Company LLC, both based in Minnesota, and Punch Drunk Marketing LLC, a Wisconsin limited liability company, for their operation of a fraudulent futures trading scheme.
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SEC Small Business Advocacy Office Delivers Report To Congress On Capital Raising For Startups To Small Public Companies
Date 12/12/2024
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2024 Annual Report today to Congress and the Commission. The report is a comprehensive and data-packed resource on the dynamics of capital raising across the country.
