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CFTC Announces Approximately $2.5 Million Whistleblower Award

Date 24/06/2019

The Commodity Futures Trading Commission (CFTC) announced today a whistleblower award of approximately $2.5 million to be paid to an individual whistleblower. In ordering the award, the CFTC took into account the significance of early reporting of misconduct, however, the award was reduced because of the whistleblower’s delay in reporting to the CFTC.
Statement On Commencement Of Appointment Process For The 2019-2024 PCAOB Board Seat - Sagar Teotia, Acting Chief Accountant, Office Of The Chief Accountant

Date 24/06/2019

The Public Company Accounting Oversight Board (“PCAOB”) is one of the centerpieces of the Sarbanes-Oxley Act of 2002 (“SOX”). SOX provides that the PCAOB is governed by a Board of five members — two of whom must be certified public accountants, and three of whom must not be — serving for staggered five-year terms.
Julius Baer Chooses ALPIMA

Date 24/06/2019

Julius Baer, the leading Swiss private banking group, chooses ALPIMA for rule-based portfolio derivation and visualisation within its Investment Management business.
MIAX Exchange Group Holiday Schedule - July 3rd & 4th 2019

Date 24/06/2019

Please be advised that the MIAX Exchange Group will have an abbreviated trading session on Wednesday, July 3, 2019. All Option Classes will close 3 hours early.
U.S. Commodity Futures Trading Commission Chairman J. Christopher Giancarlo, U.S. Securities And Exchange Commission Chairman Jay Clayton, And U.K. Financial Conduct Authority Chief Executive Andrew Bailey: Joint Statement On Opportunistic Strategies In The Credit Derivatives Market

Date 24/06/2019

U.S. Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo, U.S. Securities and Exchange Commission (SEC) Chairman Jay Clayton, and U.K. Financial Conduct Authority (FCA) Chief Executive Andrew Bailey issued the following joint statement regarding the credit derivatives markets:

”The continued pursuit of various opportunistic strategies in the credit derivatives markets, including but not limited to those that have been referred to as ‘manufactured credit events,’ may adversely affect the integrity, confidence and reputation of the credit derivatives markets, as well as markets more generally. These opportunistic strategies raise various issues under securities, derivatives, conduct and antifraud laws, as well as public policy concerns.”

Nasdaq Promotes Tal Cohen To Executive Vice President, North American Market Services, Tom Wittman To Become Executive Advisor And To Retire From Nasdaq At Year-End

Date 24/06/2019

Nasdaq, Inc. today announced it has named Tal Cohen as Executive Vice President, North American Market Services, effective July 1. In this role, Cohen will be responsible for driving the strategy and success of our trading businesses across cash equities, commodities, derivatives, and trade management services in Nasdaq’s U.S. and Canadian markets. In his role, in addition to directing the strategy of the business, Cohen will oversee Nasdaq’s North American trading products across their lifecycle and will manage client relationships and market operations. He will report to Adena Friedman, President and CEO, Nasdaq.
Eric J. Pan, Director Of CFTC’s Office Of International Affairs, To Leave The Agency

Date 24/06/2019

The Commodity Futures Trading Commission (CFTC) announced today that Eric J. Pan, Director of CFTC’s Office of International Affairs (OIA), will leave the agency in August.
SIX Is Ready For The Activation Of The Ordinance Adopted By The Swiss Federal Council To Safeguard And To Strengthen A Strong Swiss Capital Market

Date 24/06/2019

The European Commission’s decision to grant Switzerland “equivalent third country” status is still pending. SIX still welcomes the ordinance adopted by the Swiss Federal Council in November 2018 to safeguard and to strengthen the functioning of the Swiss capital market. If the recognition of equivalence is definitely not extended, this measure shall ensure that EU market participants continue to have access to the Swiss domestic market and continue to be able to trade Swiss shares there. SIX has prepared for this eventuality by establishing direct links to all its clients over the past seven months so that trading will not be disrupted. In addition, it has implemented a Fast Track process for bringing new participants on board.
Mandatory Notification Of Trade - Oslo Børs VPS Holding ASA - Sveinung Dyrdal

Date 24/06/2019

Euronext’s offer to acquire all outstanding shares in Oslo Børs VPS Holding ASA was made unconditional 31 May 2019. Sveinung Dyrdal (EVP, Head of Clients and Sales VPS) has accepted the offer for 8612 shares (new holding: 0 shares).
MOEX Expands Trading Access To Russian Stocks With Interactive Brokers

Date 24/06/2019

Moscow Exchange (MOEX) today announces that Interactive Brokers Group (IEX: IBKR), a global electronic broker, now has trading access to MOEX via AO Raiffeisenbank, which holds a Russian broker licence. The ability to trade directly on MOEX outside of Russia but through a local broker has been made possible thanks to MOEX’s Sponsored Market Access (SMA) model, low latency, and fully redundant global point of presence (PoP) architecture. Trading in MOEX-listed stocks on Interactive Brokers will initially be available to Russian residents.