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CFTC Extends Targeted Relief To Market Participants In Response To COVID-19

Date 17/07/2020

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) today announced that, in light of the continuing challenges resulting from the COVID-19 (coronavirus) pandemic, it has extended the time period for the targeted no-action relief provided in CFTC Staff Letter No. 20-16 to registrants listing new principals and to applicants for registration as associated persons (APs) from the requirement to submit a fingerprint card for any such principal or AP registration applicant.
SEC Files Fraud Charges Against Co-Founder Of IIG

Date 17/07/2020

The Securities and Exchange Commission today charged David Hu, the co-founder and chief investment officer of International Investment Group LLC (IIG), a former registered investment adviser, with fraud for his role in a $60 million Ponzi-like scheme.
Nigerian Stock Exchange Weekly Market Report For July 17th 2020

Date 17/07/2020

A total turnover of 1.016 billion shares worth N7.436 billion in 18,092 deals were traded this week by investors on the floor of the Exchange, in contrast to a total of 901.542 million shares valued at N13.453 billion that exchanged hands last week in 18,676 deals.
ESMA Tells Market Participants To Continue Preparations For The End Of The UK Transition Period

Date 17/07/2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, urges financial market participants to finalise preparations and implement suitable contingency plans in advance of the end of the United Kingdom’s (UK) transition period on 31 December 2020. ESMA also confirms that previously agreed Memoranda of Understandings (MoUs) on cooperation and information exchange concluded with the UK’s Financial Conduct Authority (FCA) remain valid and will come into effect at the end of the transition period.
Statement At The Meeting Of The Asset Management Advisory Committee, SEC Commissioner Elad L. Roisman, July 16, 2020

Date 17/07/2020

Good morning, and thank you all for convening this meeting of the Asset Management Advisory Committee. Further thanks to Ed [Bernard] and to the Commission staff who helped prepare today’s agenda and finalize all of the logistics to produce a virtual event that allows us to have a robust discussion despite the fact that we cannot meet in person. As in this Committee’s past meetings, the agenda today will focus on topics that are important and timely: improving diversity and inclusion in the asset management industry, and issues relating to data protection and the impact of technology on investment advice.

Gas Tariffs Reports: ACER Recommends Germany To Assess Its Regional Gas Networks

Date 17/07/2020

In its second report on the implementation of the European Union (EU) Network Code on Harmonised Transmission Tariff Structures for Gas in Germany, the EU Agency for the Cooperation of Energy Regulators (ACER) recommends the German national regulatory authority for Energy (BNetzA) to assess the existence of regional networks as part of the German system.
EU Competition Authorities Pauses Probe Into London Stock Exchange Group Bid For Refinitiv

Date 17/07/2020

The European Commission has temporarily suspended its investigation into the London Stock Exchange Group's bid for Refinitiv while waiting for the companies to provide requested data.
Opening Remarks At The Meeting Of The Asset Management Advisory Committee, Dalia Blass, Director, SEC Division Of Investment Management, July 16, 2020

Date 17/07/2020

Good morning and welcome to today’s meeting of the Asset Management Advisory Committee. Before we get started, let me remind you that I am speaking today only for myself and not for the Commission, the Commissioners, or the staff.
ESMA Provides Guidance On Waivers From Pre-Trade Transparency

Date 17/07/2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, published today an opinion providing guidance on pre-trade transparency waivers for equity and non-equity instruments. The document replaces the guidance of the Committee of European Securities Regulators and ESMA’s opinions on waivers from pre-trade transparency under the Market in Financial Instruments Directive (MiFID) I.
Federal Reserve Board Modifies Main Street Lending Program To Provide Greater Access To Credit For Nonprofit Organizations Such As Educational Institutions, Hospitals, And Social Service Organizations

Date 17/07/2020

The Federal Reserve Board on Friday modified the Main Street Lending Program to provide greater access to credit for nonprofit organizations such as educational institutions, hospitals, and social service organizations. As detailed in term sheets released today, the Board approved two new loan options to provide support to a broad set of nonprofit organizations that were in sound financial condition prior to the pandemic.