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CFTC Commissioner Rostin Behnam To Participate In A Discussion On Developments In ESG Regulatory Policy At ESG & Derivatives, An ISDA Virtual Conference
Date 29/09/2020
WHAT: Commissioner Rostin Behnam will participate in a discussion on developments in ESG regulatory policy at ESG & Derivatives, an ISDA Virtual Conference. The event will be moderated by Steven Kennedy, Global Head of Public Policy, ISDA.
WHEN: Wednesday, September 30, 2020
9:20 a.m. (EDT)
WHERE: Virtual conference. If interested in attending, please register at https://www.isda.org/event/online/esg-and-derivatives-2020-09-30/
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SEC Charges Unregistered Brokers In Penny Stock Scheme Targeting Seniors
Date 29/09/2020
The Securities and Exchange Commission today charged three Florida residents with fraudulent sales of stock in NIT Enterprises Inc., a South Florida technology company. The SEC previously charged NIT Enterprises, its former CEO, and two SEC-barred brokers with allegedly defrauding over 100 retail investors, many of them seniors.
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TP ICAP: Discussions Regarding The Proposed Acquisition Of Liquidnet
Date 29/09/2020
TP ICAP plc ("TP ICAP" or the "Company" and, together with its subsidiaries, the "Group") announces that it is in advanced discussions relating to the proposed acquisition of the entire issued share capital of Liquidnet Holdings, Inc. ("Liquidnet" and, together with its subsidiaries and the Group, the "Enlarged Group") for a total consideration of between US$600m and US$700m comprising approximately US$550m upfront, deferred non-contingent consideration of US$50m and an earn-out of up to US$100m (the "Potential Acquisition").
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US Department Of Justice: JPMorgan Chase & Co. Agrees To Pay $920 Million In Connection With Schemes To Defraud Precious Metals And U.S. Treasuries Markets
Date 29/09/2020
JPMorgan Chase & Co. (JPMorgan), a New York, New York-based global banking and financial services firm, has entered into a resolution with the Department of Justice to resolve criminal charges related to two distinct schemes to defraud: the first involving tens of thousands of episodes of unlawful trading in the markets for precious metals futures contracts, and the second involving thousands of episodes of unlawful trading in the markets for U.S. Treasury futures contracts and in the secondary (cash) market for U.S. Treasury notes and bonds.
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J.P. Morgan Securities Admits To Manipulative Trading In U.S. Treasuries
Date 29/09/2020
The Securities and Exchange Commission today announced charges against J.P. Morgan Securities LLC, a broker-dealer subsidiary of JPMorgan Chase & Co., for fraudulently engaging in manipulative trading of U.S. Treasury securities. J.P. Morgan Securities admitted the findings in the SEC's order, and agreed to pay disgorgement of $10 million and a civil penalty of $25 million to settle the action.
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CFTC Orders JPMorgan To Pay Record $920 Million For Spoofing And Manipulation
Date 29/09/2020
The Commodity Futures Trading Commission today issued an order filing and settling charges against JPMorgan Chase & Company (JPMC & Co.) and its subsidiaries, JPMorgan Chase Bank, N.A., and J.P. Morgan Securities LLC (JPMS) (collectively, JPM), for manipulative and deceptive conduct and spoofing that spanned at least eight years and involved hundreds of thousands of spoof orders in precious metals and U.S. Treasury futures contracts on the Commodity Exchange, Inc., the New York Mercantile Exchange, and the Chicago Board of Trade. This case is brought in connection with the Division of Enforcement’s Spoofing Task Force.
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US Federal Agencies Issue Two Final Rules
Date 29/09/2020
The federal bank regulatory agencies finalized two rules, which are either identical or substantially similar to interim final rules currently in effect and issued earlier this year. They include:
- A final rule that temporarily defers appraisal and evaluation requirements for up to 120 days after the closing of certain residential and commercial real estate transactions; and
- A final rule that neutralizes—due to the lack of credit and market risk—the regulatory capital and liquidity effects for banks that participate in certain Federal Reserve liquidity facilities.
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SEC Charges Swedish National With Global Scheme Defrauding Retail Investors, Including Deaf Community Members
Date 29/09/2020
The Securities and Exchange Commission today charged a Swedish national living in Thailand with conducting a multi-million dollar online offering fraud that victimized thousands of retail investors worldwide, including hundreds of investors from the Deaf, Hard of Hearing, and Hearing Loss communities.
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BIS: Payment Aspects Of Financial Inclusion - Tools To Facilitate The Application Of The Guidance And Measure Progress
Date 29/09/2020
- To enhance financial inclusion from a payments perspective, it is important to accurately evaluate a country's current situation and its progress.
- The new CPMI-World Bank report helps national authorities apply the Payment aspects of financial inclusion (PAFI) guidance for expanding access to payment services.
- It includes diagnostic exercises and tools to measure, monitor and report progress in the application of the guidance.
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Market-Defying Growth Surge For UK’s Gaming Sector
Date 29/09/2020
- Value of UK gaming sector to reach £10bn by 2023
- Employment to triple to over 80,000 within 5 years
- 20% YoY increase in overall job vacancies to-date
- Gaming sector made more money than video, music & film during lockdown
- Game sales increased by +218% at beginning of lockdown
- UK is the fifth largest gaming sector in world
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