News Centre
-
ASX Participates In Digital Asset’s Fundraising
Date 12/12/2019
ASX’s technology partner Digital Asset (DA) has announced that it has raised more than US$35 million in Series C funding from new and existing investors.
-
New Zealand's Financial Markets Authority Releases Findings Of Managed Investment Scheme (MIS) Custody Review
Date 12/12/2019
The Financial Markets Authority has published a summary report on a review of custody arrangements in managed investment schemes (MIS) in response to questions raised by the International Monetary Fund (IMF).
-
Mochas, Mariners, And Morality -- Remarks Before The National Economists Club, SEC Commissioner Hester M. Peirce, Washington D.C., Dec. 12, 2019
Date 12/12/2019
Thank you, Cliff [Waldman] for that kind introduction. It is an honor to be among economists today. I am not sure why, but every time I speak to economists, I feel compelled to tell a joke. Maybe it is because the securities lawyers of which I am one and with whom I routinely surround myself can be a rather serious bunch. Instead of starting with jokes, they insist that we start our talks with the following disclaimer: The views I represent are my own and not necessarily those of the Securities and Exchange Commission or my fellow Commissioners. That duty done, I am going to tell my joke.
-
FINRA Announces Senior Leadership Team Under New Examination And Risk Monitoring Program Structure - 2020 Exams Will Be Conducted Under Unified Program
Date 12/12/2019
FINRA announced today the senior leadership team under the new examination and risk monitoring structure within the organization. This marks the consolidation of FINRA’s three exam functions into a single, unified program—a process that began in October 2018.
-
IIROC Welcomes The Canadian Securities Administrators' Plans To Review Canada's Regulatory Framework For Investment Industry Self-Regulatory Organizations (SROs)
Date 12/12/2019
We look forward to participating in the CSA's consultation and in exploring options that make sense in today's environment.
While self-regulation is an efficient and effective means to protect investors and support healthy capital markets, we must always strive to improve its efficiency and effectiveness.
-
CUSIP Request Volume For Corporate And Municipal Debt Ebbs In November - 16% Monthly Decline In Muni Requests Puts Crimp In Robust 2019 Issuance
Date 12/12/2019
CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for November 2019. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity over the next quarter, found monthly decreases in CUSIP request volumes for corporate and municipal debt and a slight increase in requests for corporate debt identifiers in November.
-
Canadian Securities Regulators Announce Review Of Framework For Self-Regulatory Organizations
Date 12/12/2019
The Canadian Securities Administrators (CSA) today announced that it will undertake a review of the regulatory framework for the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA).
-
Trades Completed In The First US Regulated Bitcoin Options On ICE Futures U.S.
Date 12/12/2019
Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today announced the first block trade of BakktTM Bitcoin (USD) Monthly Options (BTM) submitted to ICE Futures U.S.
-
Resolution Of Uncertainty - Comments By Riccardo Rebonato, Professor of Finance, EDHEC-Risk Institute, EDHEC Business School - On Yesterday FED's Meeting
Date 12/12/2019
Riccardo Rebonato, Professor of Finance, EDHEC-Risk Institute, EDHEC Business School is specialist in interest rate risk modelling with applications to bond portfolio management and fixed-income derivatives pricing. He comments on yesterday FED's meeting.
-
Federal Reserve Board Announces Termination Of Enforcement Actions With JPMorgan Chase & Co., Spirit BankCorp, Inc., U.S. Bancorp, And USB Americas Holdings Company
Date 12/12/2019
The Federal Reserve Board on Thursday announced the termination of the enforcement actions listed below:
JPMorgan Chase & Co., New York, New York
Cease and Desist Order, dated January 14, 2013
Terminated December 5, 2019Spirit BankCorp, Inc., Bristow, Oklahoma
Written Agreement, dated August 2, 2012
Terminated December 5, 2019U.S. Bancorp, Minneapolis, Minnesota and USB Americas Holdings Company, Minneapolis, Minnesota
Cease and Desist Order, dated February 14, 2018
Terminated December 5, 2019
