$COMS COMSovereign Files Form 15 to Voluntarily Deregister and Suspend its SEC Reporting Obligations While Continuing to Trade on the OTC Exchange; Company to Focus on Completing its Ongoing Business Transition Plan Prioritizing Improving its Balance Sheet to Reduce Debt and Resuming Production and Revenue Generation Activities - https://bit.ly/4aAynoL
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Enhancement of operational efficiency and Risk Reduction - Pay-out of securities directly to client demat account: CIRCULAR SEBI/HO/MIRSD/MIRSD-PoD1/P/CIR/2024/75 June 05, 2024 To, All recognized Stock Exchanges and Clearing Corporations All Depositories Madam / Sir, Sub: 1. SEBI, vide Master Circular for Stock Brokers dated May 22, 2024, inter alia, specified various processes for handling of clients securities with regard to pay-in and pay-out of securities. This is to protect clients securities and to ensure that the stock broker segregates securities of the client or clients so that they are not vulner... ... ... https://dlvr.it/T7sYqw #TaxLaws #Circulars #TaxTMI
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The SEC’s Rule 13f-2 now mandates monthly Form SHO reports for significant short sales. This new requirement covers a broad range of equity securities, posing significant operational challenges for asset managers. See how the IVP Regulatory Reporting Solution (https://hubs.ly/Q02MvBCt0) solves these issues by automating data collection, enabling real-time monitoring, and generating comprehensive reports effortlessly. #SEC #FormSHO #RegulatoryCompliance #ShortSales #MarketTransparency #AssetManagement #FinanceForward #IssueBrief #DownloadNow
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The #identification of #OTC #derivatives in #regulatory #reporting and #transparency / #CTP with modified #ISIN is of importance for the #buyside in order to streamline reporting processes, create #efficiency, and reduce #cost. Please join this webinar to hear the news directly from the #mouth of the #horse. Sassan Danesh Susan Yavari Felix Ertl Myriam Dana -Thom?
Join us for a key webinar on the European Commission (EC)’s draft delegated act to modify the OTC derivatives ISIN for transparency on Thursday 20 June 2-3pm UK time/3-4pm CET. We are also delighted to be joined by Tilman Lueder, Head of Securities Markets, who has led the EC’s work on this act. ? The draft delegated act is open for consultation until 10 July and with it including the proposal to modify the OTC derivatives ISIN reference data, the DSB is keen to involve stakeholders in this process:?https://lnkd.in/d9hwA9ZY ? Please register here:?https://lnkd.in/dJ-iYsYB
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This webinar on 20 June is essential for users of the EU derivatives tape and for prospective derivatives tape providers. Learn about the proposed changes to the #ISIN to better meet the needs of transparency.
Join us for a key webinar on the European Commission (EC)’s draft delegated act to modify the OTC derivatives ISIN for transparency on Thursday 20 June 2-3pm UK time/3-4pm CET. We are also delighted to be joined by Tilman Lueder, Head of Securities Markets, who has led the EC’s work on this act. ? The draft delegated act is open for consultation until 10 July and with it including the proposal to modify the OTC derivatives ISIN reference data, the DSB is keen to involve stakeholders in this process:?https://lnkd.in/d9hwA9ZY ? Please register here:?https://lnkd.in/dJ-iYsYB
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T Stamp Inc (NASDAQ:IDAI, EURONEXT:AIID) (dba Trust Stamp), the AI-powered identity software provider, announced on Tuesday that it has entered into a securities purchase agreement with an institutional investor to raise approximately $2 million through a combination of a registered direct offering and a private placement. The company will issue over 1.4 million shares of common stock, or pre-funded warrants in lieu thereof, at an offering price of $0.3223 per share. In a concurrent private placement, Trust Stamp will also issue unregistered warrants to purchase up to 2.86 million shares of common stock. The exercise price for these warrants is set at $0.3223... https://ow.ly/exgq105HvZF
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On August 20, Cantor Fitzgerald & Co agreed to pay a $100,000 fine as part of a settlement with the Financial Industry Regulatory Authority (FINRA). The firm was found to have violated FINRA rules related to market-making activities and best execution obligations in OTC securities. Key Points: - Period of Violation: The violations occurred between July 2017 and May 2019, during which Cantor Fitzgerald failed to provide best execution in connection with 2,395 orders in OTC securities. - Best Execution Failures: The firm did not integrate OTC Link messages into its order management system, resulting in missed opportunities for better pricing for customer orders. - Supervisory System Issues: Cantor Fitzgerald’s supervisory system for best execution in OTC securities was found inadequate, failing to account for price opportunities available through OTC Link messages. - Additional Penalties: Besides the fine, Cantor Fitzgerald will pay $51,214.16 in restitution, along with interest, and has consented to a censure. This case highlights the importance of robust systems and processes in ensuring compliance with FINRA regulations. Unlock cutting-edge legal intelligence with a free subscription—stay ahead in your industry: https://lnkd.in/gZmkUPim #FINRA #Securities #MarketMaking #RegulatoryCompliance #GlobalRegulatoryInsights
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After a morning meeting in town, I swung by this event to check out the latest development in the #FixedIncome market. Yet, my mind is thinking about my friend George Bollenbacher's article - The Fixed Income #ETF Market Tells Two Stories, and the #transparency regime in Europe (UPI+ vs ISIN for OTC #derivatives identifier in particular). All good ?? #Trading #CapitalMarkets #MarketStructure #FinTech #RegTech
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Want access to the latest insights in OTC trading and finance, delivered right to your inbox? Subscribe to the Numerix monthly newsletter. https://lnkd.in/gAemqi5q #Finance #Newsletter #FinancialInsights #IndustryTrends #Subscribe #Numerix
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How can firms effectively adapt to the CSA's new OTC derivatives reporting requirements to ensure compliance and streamlined reporting processes? Find out with our lineup of speakers from Cappitech, Botsford Associates, and the Ontario Securities Commission (OSC) as they unpack the Canadian Securities Administrators (CSA) rewrite. Our expert panel consisting of Igor Kaplun, Meng Wang, CFA, Scott Kerr, CFA and Tim Reibetanz will provide background of the rewrite, an overview of the new regulation, outline the key timelines, and offer practical steps on how firms can prepare. Please register here: https://hubs.la/Q02X6t340 #regreporting #regulations #CSA #regtech #canadianreporting #compliance #fintech #transactionreporting #regtech
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