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Advise Technologies Releases Bank Of Israel Derivatives Reporting Module

Date 21/12/2016

Advise Technologies, an industry leading provider of regulatory reporting software, is pleased to announce the addition of the Bank of Israel Derivatives Reporting module to the growing regulatory reporting capacity of the Consensus RMS platform.
ASIC Reports On ASX Equity Market Outage In September 2016

Date 21/12/2016

ASIC has released a report on the findings of its review of the ASX outage that affected the operation of the Australian equity market on 19 September 2016. It provides a whole-of-market perspective, with observations on how ASX and other important stakeholders responded on the day.
Securities Commission Malaysia Revokes Licence Of Yap Yeng Chong

Date 21/12/2016

Securities Commission Malaysia (SC) has revoked the Capital Markets Services Representative’s Licence (CMSRL) of Yap Yeng Chong (Yap) for the regulated activity of dealing in securities under section 72 read together with section 65 of the Capital Markets and Services Act 2007 (CMSA), effective 22 August 2016.
ASIC Accepts Enforceable Undertaking From NAB And CBA To Address Inadequacies Within Their Wholesale Spot FX Businesses

Date 21/12/2016

ASIC has today accepted enforceable undertakings (EUs) from each of the National Australia Bank Limited (NAB) and the Commonwealth Bank of Australia (CBA) in relation to the banks’ wholesale spot foreign exchange (FX) businesses.
Federal Court Orders Chicago Trader Igor B. Oystacher And 3Red Trading LLC To Pay $2.5 Million Penalty For Spoofing And Employment Of A Manipulative And Deceptive Device, While Trading Futures Contracts On Multiple Futures Exchanges - The Court’s Order Finds That Oystacher Entered And Canceled Orders He Never Intended To Fill

Date 20/12/2016

The U.S. Commodity Futures Trading Commission (CFTC) today announced that Judge Amy J. St. Eve of the U.S. District Court for the Northern District of Illinois entered a Consent Order of Permanent Injunction (Order) against Defendants Igor B. Oystacher and his proprietary trading company, 3Red Trading LLC (3Red), both of Chicago, Illinois, finding that the Defendants engaged in a manipulative and deceptive spoofing scheme while trading at least five different futures contracts on four exchanges for more than two years, which violated certain provisions of the Commodity Exchange Act (CEA) and CFTC Regulations adopted pursuant to the CFTC’s anti-spoofing and expanded anti-fraud and anti-manipulation authority under the Dodd-Frank Act.

Statement Of FTC Chairwoman Edith Ramirez Regarding The Volkswagen 3.0 Liter Emissions Litigation

Date 20/12/2016

Federal Trade Commission Chairwoman Edith Ramirez issued the following statement regarding today’s announcement by U.S. District Judge Charles Breyer of a nearly completed agreement resolving the EPA’s Clean Air Act claims, and nearly complete agreements concerning consumer injury claims.
Federal Reserve Board Extends Comment Period To February 20, 2017, On Proposed Rule That Would Strengthen Existing Requirements And Limitations On The Physical Commodity Activities Of Financial Holding Companies

Date 20/12/2016

The Federal Reserve Board on Tuesday extended until February 20, 2017, the comment period for its proposed rule that would strengthen existing requirements and limitations on the physical commodity activities of financial holding companies. The proposal would help reduce the catastrophic, legal, and financial risks that physical commodity activities pose to financial holding companies.
EBA: Consultation On Guidelines On Supervision Of Significant Branches (EBA-CP-2016-24)

Date 20/12/2016

The European Banking Authority (EBA) launched today a consultation on its draft Guidelines on the supervision of significant branches. Prompted by the increasing demand to establish branches across the European Union, these Guidelines are designed to facilitate cooperation and coordination between the Competent Authorities (CAs). They will assist them in supervising the largest systemically important branches, the so-called “significant-plus” branches, which require intensified supervision. The consultation runs until 20 March 2017.
CFTC Charges Arizona Resident Derek Springfield And His Company, Draven, LLC, With Fraudulent Solicitation, Misappropriation, And Issuing False Account Statements In Ponzi-Style Commodity Pool Scheme - Springfield And Draven Allegedly Fraudulently Solicited And Received At Least $1.46 Million From At Least 86 Individuals In Connection With Pooled Investments

Date 20/12/2016

The U.S. Commodity Futures Trading Commission (CFTC) filed a civil anti-fraud enforcement action in the U.S. District Court for the District of Arizona, charging Defendants Derek Springfield and his company, Draven, LLC (Draven), both of Mesa, Arizona, with engaging in fraudulent sales practices, providing false account statements to commodity pool participants, and misappropriating pool participants’ funds.
EBA Launches Data Collection Addressed To Commodity Derivatives Firms To Review The Prudential Framework For Investment Firms

Date 20/12/2016

The European Banking Authority (EBA) launched today a data collection for commodity derivatives firms that will support the European Commission in the calibration of the new prudential regime for investment firms. This exercise follows up on the consultation the EBA launched on 4 November 2016 in response to the European Commission's call for technical advice on the design of a new prudential regime for investment firms, including the extent to which the new regime would also be suitable for or adaptable to specialised commodity derivatives firms.