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CFTC Charges Companies And Associates With Failing To Register With The CFTC

Date 04/11/2019

The U.S. Commodity Futures Trading Commission today issued an order filing and settling charges against Silver Star FX, LLC d/b/a Silver Star Live (SSL) of New Mexico and Silver Star Live Software LLC (SSLS) of Florida, and two officers of those firms, Candace Ross-Mahmoud and Hassan Mahmoud of California (collectively, respondents). In its order, the CFTC found that SSL and SSLS acted as unregistered commodity trading advisors and that Ross-Mahmoud and Mahmoud acted as unregistered associated persons of both SSL and SSLS. The order requires the respondents, who are jointly and severally liable, to pay a $75,000 civil monetary penalty and to cease and desist from future violations of the Commodity Exchange Act.
Innovation leaders from Fidelity Investments and FinTech Sandbox to Keynote at TABB Group's FinTech Festival on Nov 13 in NYC - Fidelity Investments’ Mona Vernon and Vantage Ventures’ Sarah Biller, Co-Founder of FinTech Sandbox, to Speak to “Evolutionary Capital Markets: How to Thrive in Open AI-Powered Platform Economy” in Keynote Address - RocketFin’s Espen Skogen and Glue42’s James Wooster Set to Present “Behavior Mining: Finding Alpha in User-Behavior Analysis”

Date 04/11/2019

Continuing its position as one of the capital markets industry’s leading financial-technology conference producers in the U.S. for the past 13 years, TABB Group has assembled one of its strongest programs with experts drawn from the asset management and capital markets to discuss how buy-side and sell-side financial technology are reshaping capital markets ecosystems.
Remarks To The Securities And Exchange Committee Fixed Income Market Structure Advisory Committee, SEC Commissioner Robert J. Jackson Jr., Nov. 4, 2019

Date 04/11/2019

Good morning, and thanks to all of you once again for joining us at today’s meeting of the Fixed Income Market Structure Advisory Committee (FIMSAC). Since my very first day on the Commission—when I began this job by attending my first FIMSAC meeting—I have been consistently impressed with the exceptional work of this Committee. I am grateful to each of you for your service to the Commission and the Nation’s investors, and as we meet for the last time this year I look forward to hearing from the Committee on today’s discussions about credit ratings and financial benchmarks. I also wanted to share two thoughts of my own as the Committee continues its work next year.
NZX Shareholder Metrics October 2019

Date 04/11/2019

Please see attached NZX shareholder metrics for October 2019.
SEC Chairman Clayton, PCAOB Chairman Duhnke, And Members of SEC Staff Meet With Auditing Firm Representatives To Discuss Audit Quality In Emerging Economies And Markets

Date 04/11/2019

The Securities and Exchange Commission today announced that SEC Chairman Jay Clayton, Public Company Accounting Oversight Board (PCAOB) Chairman William Duhnke, and members of the SEC staff met last week with senior representatives of the four largest global network auditing firms to discuss the audit quality and certain of the challenges faced in auditing public company operations in emerging markets, including China, the largest emerging market economy. The discussions emphasized the need for effective and consistent global firm oversight of member firms, including those operating in emerging markets. The discussions also focused on the design and implementation of audit procedures that are tailored to reflect changes in risk.

CFTC Charges Alabama Resident And His Company With Binary Options Fraud

Date 04/11/2019

The U.S. Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Northern District of Alabama charging Aaron B. Butler and his company, Negus Capital Incorporated (NCI), both of Alabama, with fraudulent solicitation, misappropriation, and registration violations in connection with binary options trading.
Remarks To The SEC Fixed Income Market Structure Advisory Committee, SEC Chairman Jay Clayton, Nov. 4, 2019

Date 04/11/2019

Thank you, Michael [Heaney]. Good morning everyone. Thank you all for being here and for traveling to our offices in New York. Today’s agenda is full and important. You have assembled expert panels on (1) structured disclosures by municipal issuers, (2) rating agency compensation models, (3) index construction, (4) government securities trading platforms, and (5) the LIBOR transition. We also have updates from our Technology and Electronic Trading Subcommittee and the Corporate Bond Transparency Subcommittee.
B3 Announces New Edition Of Its Market Maker Program For Equities, BDRs And ETFs - The Program Will Be Extended Following Its Success In 2018, When The Daily Traded Volume Of Participating Assets Rose By 62%

Date 04/11/2019

Starting today, B3's equities, BDR and ETF markets will have new market makers. The initiative is part of B3's program focused on liquidity development and the performance of participating assets. This year, in addition to expanding eligible assets, the demand for market maker accreditation in the program has also increased with 13 new accredited institutions in the program, 5 of which are first-time participants. Altogether, 89 equities, 2 ETFs and 230 BDRs have been added, compared to 54 equities in 2018.
British Columbia Securities Commission Acts To Protect Customers Of Einstein Exchange Crypto-Asset Trading Platform

Date 04/11/2019

The British Columbia Securities Commission (BCSC) has taken action to protect customers of Einstein Exchange, a crypto-asset trading platform based in Vancouver.
SEC Charges Issuer And CEO With Violating Whistleblower Protection Laws To Silence Investor Complaints

Date 04/11/2019

The Securities and Exchange Commission today filed an amended complaint against online auction portal Collectors Café and its CEO Mykalai Kontilai to add allegations that they unlawfully sought to prohibit their investors from reporting misconduct to the SEC and other governmental agencies. The SEC previously charged Collectors Café and Kontilai with a fraudulent $23 million securities offering based on false statements to investors, and alleged that Kontilai misappropriated over $6 million of investor proceeds.