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United States
Securities / Derivatives
Industry Bodies Open Common Domain Model on FINOS Platform
By Editors | 20/02/2023
The open-source CDM is now fully integrated into the FINOS project landscape, which will open up opportunities for open collaboration between market participants.
Crypto / Digital Assets
US SEC Fines Former NBA Star Over Crypto Promotion
By Editors | 20/02/2023
Paul Pierce promoted crypto asset securities known as EMAX tokens on social media without disclosing that he was paid to do so.
Enforcement
US SEC, CFTC Penalise OCC Over Internal Rule Violation
By Editors | 19/02/2023
As a result of certain deficiencies, the Options Clearing Corp’s clearing fund was “underfunded” at various times between October 2019 and May 2021.
Enforcement
US, UK Sanction Bulgarian Nationals for Corruption Offences
By Editors | 19/02/2023
The UK issued sanctions under its Global Anti-Corruption Sanctions Regime. The US sanctions were imposed under the Magnitsky Act.
Sanctions
China Sanctions US Defence Firms Over Taiwan Weapons Sales
By Editors | 17/02/2023
Lockheed Martin and a unit of Raytheon Technologies were added to China’s “Unreliable Entity List”. The notice requires both to pay fines.
Crypto / Digital Assets
CFTC Charges California Firm for ‘Ponzi-like’ Crypto Fraud
By Editors | 17/02/2023
Vista Network Technologies and its CEO advertised to customers that it would trade their digital assets using “robot traders” which did not exist.
Securities / Derivatives
CFTC to Require UPIs in Swaps Reporting Starting Jan 2024
By Editors | 17/02/2023
UPIs issued by the DSB will be required in reporting credit, equity, foreign exchange, and interest rate swaps from 24 Jan 2024.
Crypto / Digital Assets
US SEC Files Securities Fraud Charges Over Terra Collapse
By Editors | 17/02/2023
The Terraform ecosystem was ‘simply a fraud propped up by a so-called algorithmic stablecoin’, says Gurbir Grewal.
Crypto / Digital Assets
CME to Launch Event Contracts on Bitcoin Futures
By Editors | 16/02/2023
The new event contracts will provide a highly transparent and less complex way for investors to access crypto markets, said Tim McCourt.
Market Infrastructure
US SEC Sets May 2024 Target for Move to T+1 Settlement Cycle
By Editors | 16/02/2023
SEC commissioners Hester Peirce and Mark Uyeda say the 28 May 2024 effective date does not leave enough time for the market to transition.
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