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SGX RegCo Consults on Proposed Enhancements to Securities…

Singapore Exchange Regulation (SGX RegCo) is seeking feedback on possible changes to the auction mechanism in the securities market, to consider their feasibility for implementation. The proposed enhancements are to prevent extreme price dislocations while…

CFTC

Matthew Kulkin, DSIO Director, to Leave the CFTC

Washington, DC — The Commodity Futures Trading Commission (CFTC) announced today that Matthew Kulkin, Director of the CFTC’s Division of Swap Dealer & Intermediary Oversight (DSIO), will leave the agency later this summer. Since 2017, Kulkin…

US Securities and Exchange Commission - VALIC

Wedbush to Pay More Than $8.1 Million for…

Washington D.C., June 18, 2019 — The Securities and Exchange Commission today announced that Wedbush Securities Inc. will pay more than $8.1 million to settle charges for improper handling of "pre-released" American Depositary Receipts (ADRs).…

CFTC

CFTC’s Division of Market Oversight Issues Statement on…

Washington, DC — The Commodity Futures Trading Commission’s (Commission) Division of Market Oversight (DMO) today issued the following statement. On February 1, 2019, ICE Futures U.S., Inc. (ICE or Exchange) self-certified[1] an amendment to ICE Rule 4.26…

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DTCC Provides Vision for Central Clearing in the…

New paper proposes central clearing solutions to enhance resiliency and mitigate risks associated with bilateral clearing New York/London/Hong Kong/Singapore/Sydney, May 7, 2019 ‒ The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for…

CFTC

Giancarlo Releases Letter to Quarles on Phase Five…

Washington, DC — Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo sent a letter to Federal Reserve Board Vice Chairman Randal K. Quarles concerning Phase Five implementation requirements for initial margin on uncleared swaps, scheduled…

CFTC

CFTC Approves Proposed Rule to Improve Data Quality…

Washington, DC — The Commodity Futures Trading Commission (CFTC) today approved a proposed rule to improve the quality of swap data and to update and streamline regulations related to swap data repository (SDR) operations and governance.…