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CFTC Files 12 Enforcement Actions Addressing Registration, Position Limits, Recordkeeping, Supervision And Reporting

Date 15/09/2018

The Commodity Futures Trading Commission (CFTC) issued 12 Orders today filing and simultaneously settling charges against various respondents for violations of the Commodity Exchange Act (Act) and Commission Regulations (Regulations), including for position limits, recordkeeping, registration, reporting, and failure to supervise violations, as set forth below and as more fully described in the related press releases for each Order.
CFTC Orders Grain Exporter To Pay A Penalty For Violating Soybeans Futures Speculative Position Limits And For Reporting Violations

Date 15/09/2018

The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Honouround (HK) International Trade Co. Ltd. (Honouround), a company based in Hong Kong, China, for exceeding the single month and all-month speculative position limits for soybeans futures contracts traded on the Chicago Board of Trade (CBOT), and for failing to file Form 204s as required. The Order requires Honouround to pay a $300,000 civil monetary penalty.
CFTC Charges Multiple Forex and Binary Options Dealers with Registration Violations - CFTC Simultaneously Files and Settles Multiple Actions against Eight Firms and Eight Individuals for Illegally Offering Forex and Binary Options to Retail Investors in the United States

Date 15/09/2018

The Commodity Futures Trading Commission (CFTC) today issued Orders filing and simultaneously settling charges against eight unregistered entities and eight unregistered individuals that were offering foreign exchange (forex) and binary options to retail investors located in the United States.
Statement On Shareholder Voting, SEC Commissioner Robert J. Jackson Jr.

Date 14/09/2018

Today, the Office of the Chairman and the Division of Investment Management suddenly raised questions about long-resolved issues regarding shareholder voting. Because the Investor Advisory Committee’s critical work in this area is ongoing, it’s important to clarify the path ahead for those interested in giving shareholders real access to the levers of corporate democracy.
CFTC Commitments Of Traders Reports Update

Date 14/09/2018

The current reports for the week of September 14, 2018 are now available.

ETFGI Reports Assets Invested In ETFs and ETPs Listed In The US Reached A New High Of $3.71 Trillion At The End Of August 2018

Date 14/09/2018

ETFGI, a leading independent research and consultancy firm covering trends in the global ETF/ETP ecosystem, reported today that ETFs and ETPs listed in the US reached a new high of US$3.71 Tn in assets, following net inflows of US$24.71 Bn in August, according to ETFGI’s August 2018 US ETF and ETP industry landscape insights report, an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
SEC: Whistleblower Receives Award Of Approximately $1.5 Million

Date 14/09/2018

The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1.5 million. The whistleblower provided the SEC with vital information and ongoing assistance that proved important to the overall success of an enforcement action. However, the SEC’s order notes that the award was reduced because the whistleblower did not promptly report the misconduct and benefited financially during the delay.
CAT ClientOrderID Requirement For BOX Participants

Date 14/09/2018

BOX Exchange LLC (“BOX” or the “Exchange”) expects to commence Phase 1 reporting into the Consolidated Audit Trail on November 15, 2018. Accordingly, it is now mandatory for BOX Participants using both FIX and SAIL to include a ClientOrderID within each Order submitted to the Exchange.
SEC Charges Investment Advisers With Defrauding Retail Advisory Clients

Date 14/09/2018

The Securities and Exchange Commission today charged an Indianapolis-based investment advisory firm and its sole owner with selling approximately $13 million of high-risk securities to more than 120 advisory clients – many of whom are current or former teachers or other workers in public education – without disclosing that the firm and its owner stood to receive commissions of up to 18 percent from the sales.
US Federal And State Financial Regulatory Agencies Issue Interagency Statement On Supervisory Practices Regarding Financial Institutions Affected By Hurricane Florence

Date 14/09/2018

The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, and the state regulators recognize the serious impact of Hurricane Florence on the customers, members, and operations of many financial institutions and will provide appropriate regulatory assistance to affected institutions subject to their supervision. The agencies encourage institutions operating in the affected areas to meet the financial services needs of their communities.