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CFTC Orders Illinois Firm To Pay $250,000 For Supervision Violations - Failure To Supervise Put Seniors’ Retirement Savings At Risk

Date 29/06/2020

The Commodity Futures Trading Commission today issued an order filing and settling charges against Cunningham Commodities, LLC, a registered futures commission merchant with its principal place of business in Itasca, Illinois, for failing to diligently supervise accounts set up by an introducing broker whose activities it guaranteed (GIB).
SEC Updates Filing Threshold To Rule 17h Reporting Requirements For Broker-Dealers

Date 29/06/2020

The Securities and Exchange Commission today issued an order to update the filing threshold for broker-dealers’ Form 17-H filings made pursuant to Exchange Act Rules 17h-1T and Rule 17h-2T. The threshold, which had not been updated in nearly 30 years, will exempt certain smaller broker-dealers from the reporting requirements of the rules while continuing to provide important information to the Commission on the financial condition of covered broker-dealers and their affiliates.
CFTC Charges Chicago-Based Firm And Six Individuals In Multi-Million Dollar Options Fraud Scheme

Date 29/06/2020

The Commodity Futures Trading Commission today announced the filing of a civil enforcement action in the U.S. District Court for the Northern District of Illinois against Long Leaf Trading Group, Inc., its principals James A. Donelson of Aurora, Illinois, and Timothy M. Evans of Tulum, Mexico, and former Long Leaf associated persons Jeremey S. Ruth of Austin, Texas, and Andrew D. Nelson of Elmhurst, Illinois. The defendants are charged with defrauding customers in connection with options on futures transactions. Some of the defendants are also charged with registration and disclosure violations. The CFTC also issued two orders filing and simultaneously settling charges against two additional former associated persons of Long Leaf, Scott J. Gecas, of Tinley Park, Illinois, and James E. Leeney, of Chicago, Illinois for their participation in the firm’s fraud scheme.
Statement On The Department Of Labor’s Investment Advice Proposal, SEC Chairman Jay Clayton, June 29, 2020

Date 29/06/2020

I commend the Department of Labor for their efforts to clarify and align the standards of conduct that investment professionals must follow in providing advice to Main Street investors. The proposed exemption announced today reflects in part the Commission’s constructive and ongoing engagement with the Department. I look forward to continuing our work with the Department so that collectively we can enhance investor choice and increase investor protections.
Coronavirus And CARES Act, Federal Reserve Chair Jerome H. Powell, Before The Committee On Financial Services, U.S. House Of Representatives, Washington, D.C.

Date 29/06/2020

Chairwoman Waters, Ranking Member McHenry, and other members of the Committee, thank you for the opportunity to testify today to discuss the extraordinary challenges our nation is facing and the steps we are taking to address them.

ISDA, ASIFMA, FIA And GFXD Publish EU Benchmarks Regulation Review Recommendations

Date 29/06/2020

The International Swaps and Derivatives Association, Inc. (ISDA), the Asia Securities Industry and Financial Markets Association (ASIFMA), the Futures Industry Association (FIA) and the Global Foreign Exchange Division (GFXD) of the Global Financial Markets Association (GFMA) have published a set of recommendations to reform the European Union Benchmarks Regulation (BMR). The proposals are aimed at maintaining the intended protections of the BMR but reducing the potential for uncertainty and disruption and preventing EU investors from being put at a competitive disadvantage versus non-EU entities.
IIROC FY 2021 Priorities Chart Path Ahead During These Challenging Times - Enhancing Investor Protection While Supporting Investment Industry Changes Accelerated By COVID-19

Date 29/06/2020

The Investment Industry Regulatory Organization of Canada (IIROC) today published its 2021 Priorities, outlining areas of focus where the pan-Canadian regulator will take action to enhance investor protection and promote healthy capital markets in the current environment of uncertainty related to the COVID-19 pandemic.
Autorité Des Marchés Financiers Announces The Resumption Of Exam Sessions

Date 29/06/2020

The Autorité des marchés financiers (AMF) is announcing today that exam sessions, which are currently on hold to limit the spread of COVID-19, will resume on July 6 in Montréal, and on July 7 in Québec City.
Credit Suisse Joins ICE ETF Hub As An Authorized Participant - Becomes Member Of The Advisory Committee

Date 29/06/2020

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today announced that Credit Suisse has joined the ICE ETF Hub as an authorized participant and has become a member of the advisory committee for the platform.
Federal Reserve Board Releases New Term Sheet For The Primary Market Corporate Credit Facility, Adding Pricing And Other Information

Date 29/06/2020

The Federal Reserve Board on Monday released a new term sheet for the Primary Market Corporate Credit Facility, adding pricing and other information. As detailed in an FAQ released today, pricing will be issuer-specific and informed by market conditions. Prices will also be subject to minimum and maximum spreads over comparable maturity Treasury securities.