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United States SEC and CFTC Seek Public Comment on Swap, Security Based Swap and Event Contract Definitions
On 18 June 2026, the United States Securities and Exchange Commission and the United States Commodity Futures Trading Commission jointly issued a Request for Comment titled Joint Request for Comment on Further Definition of “Swap” and “Security Based Swap” and on Alternative Compliance.
United States SEC and CFTC Seek Public Comment on Harmonising Swap and Security Based Swap Data Reporting
On 18 June 2026, the United States Securities and Exchange Commission and the United States Commodity Futures Trading Commission jointly issued a Request for Comment titled Joint Request for Comment on Swap and Security Based Swap Data Reporting.
United States SEC Appoints Four New Members to Investor Advisory Committee
On 1 June 2026, the United States Securities and Exchange Commission (US SEC) announced the appointment of four new members to its Investor Advisory Committee (IAC), reinforcing the US SEC’s ongoing focus on investor protection, market integrity, and stakeholder engagement.
United States CFTC Appoints Dr. Patrick J. Schorno as Chief Economist
On 1 June 2026, the US Commodity Futures Trading Commission announced the appointment of Dr. Patrick J. Schorno as Chief Economist.
United States CFTC Opens Door to Regulated Bitcoin Perpetual Contracts in Landmark Crypto Market Development: New Era for Crypto Derivatives
On 29 May 2026, the U.S. Commodity Futures Trading Commission (CFTC) announced a regulatory pathway permitting the listing of a true Bitcoin perpetual contract on a CFTC-registered exchange, marking the first time that crypto perpetual derivatives will be capable of operating within the United States’ regulated commodities framework.
Hong Kong SFC Obtains Disqualification Orders Against Four Former China Candy Holdings Directors Over Cash Balance Overstatements
On 7 May 2026, the Securities and Futures Commission obtained disqualification orders against four former directors of China Candy Holdings Limited.
Hong Kong SFC Secures Two-Year Disqualification of Qunxing Paper Former Financial Controller Poon Tsz Hang Over False Financial Disclosures
On 13 May 2026, the Securities and Futures Commission obtained a disqualification order against Poon Tsz Hang. He was the former financial controller and company secretary of Qunxing Paper Holdings Company Limited.
Hong Kong SFC Secures Insider Dealing Conviction of Movie Producer Wong Pak Ming Over Pegasus Entertainment Share Trades
On 22 May 2026, the Eastern Magistrates’ Court convicted Wong Pak Ming of insider dealing. He is a well-known movie producer in Hong Kong. The conviction relates to the shares of Pegasus Entertainment Holdings Limited.
Hong Kong SFC Bans Nerico Brothers Former RO Paul Wan Kai Leung for Life Over US$154 Million Client Fund Misappropriation
On 26 May 2026, the Securities and Futures Commission banned Paul Wan Kai Leung for life. He was the former responsible officer, manager-in-charge and director of Nerico Brothers Limited.
US SEC Commissioner Hester Peirce to Participate in Capital Markets Summit
On 9 June 2026, Hester M. Peirce of the U.S. Securities and Exchange Commission will participate in the “Capital Markets Summit: The Engine That Drives America,”
US SEC Chairman Paul S. Atkins Issued Statement on Novel Exchange-Traded Funds (ETFs)
On 20 May 2026, Paul S. Atkins, Chairman of the U.S. Securities and Exchange Commission, issued a public statement addressing the regulatory treatment of novel exchange-traded funds (ETFs), including event contract ETFs.
US CFTC Issues No-Action Letter Streamlining Swap Data Reporting for Fully Collateralized Event Contracts on DCMs and DCOs
On 13 May 2026, the United States Commodity Futures Trading Commission (“US CFTC”) Division of Market Oversight (“DMO”) and Division of Clearing and Risk (“DCR”) issued CFTC Letter No. 26-14.
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