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FINRA Announces Three New Governors On Its Board
Date 16/02/2024
FINRA announced today that Derrick Roman, former partner of PricewaterhouseCoopers LLP (PwC), and Gus Sauter, current member of FINRA’s Investment Committee, have been appointed as public governors on its Board of Governors. In addition, Naureen Hassan, President of UBS Americas and CEO of UBS Holdings, has been appointed as an industry governor to the Floor Member Governor seat. Together, these individuals bring extensive audit, risk management, regulatory policy and investing experience to the Board.
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TMX Group Closes C$1.1 Billion Private Placement Debenture Offering
Date 16/02/2024
TMX Group Limited ("TMX Group") today announced that it has closed a Canadian private placement offering (the "Offering") of C$1.1 billion aggregate principal amount of senior unsecured debentures (collectively, the "Debentures") to accredited investors in Canada comprising: (i) C$350 million aggregate principal amount of 4.678% Series G Senior Unsecured Debentures due August 16, 2029, approximately 4.9 times oversubscribed; (ii) C$300 million aggregate principal amount of 4.836% Series H Senior Unsecured Debentures due February 18, 2032, approximately 4.3 times oversubscribed; and (iii) C$450 million aggregate principal amount of 4.970% Series I Senior Unsecured Debentures due February 16, 2034, approximately 5.8 times oversubscribed. The Debentures are direct senior unsecured and unsubordinated obligations of TMX Group and rank pari passu with all other senior unsecured and unsubordinated indebtedness of TMX Group.
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SEC Charges TIAA Subsidiary For Failing To Act In The Best Interest Of Retail Customers - Broker-Dealer To Pay More Than $2.2 Million For Violating Reg BI
Date 16/02/2024
The Securities and Exchange Commission today announced that registered broker-dealer TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), will pay more than $2.2 million to settle charges that it failed to comply with Regulation Best Interest (Reg BI) in connection with recommendations to retail customers to open a TIAA Individual Retirement Account (TIAA IRA).
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MIAX Exchange Group - Amendment To Rule 1308, Supervision Of Accounts, To Extend The Temporary Remote Inspection Relief Through June 30, 2024, For Members To Complete Their Branch Office Inspections
Date 16/02/2024
The MIAX Exchange Group has amended all MIAX Exchanges’ Rule 1308, Supervision of Accounts, to provide Members the option to conduct remotely those inspections described in Rule 1308(d) through June 30, 2024.
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ETFGI Reports At The End Of January The Assets Invested In The ETFs Industry In Europe Reached A New Record Of US$1.83 Trillion
Date 16/02/2024
ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs ecosystem, reported today that at the end of January the assets invested in the ETFs industry in Europe reached a new record of US$1.83 trillion. During January the ETFs industry in Europe gathered US$21.68 billion in net inflows. In the first month of 2024, assets invested in the ETFs industry in Europe increased by 0.5% going from US$1.82 trillion at the end of 2023 to US$1.83 trillion, according to ETFGI's January 2024 European ETFs and ETPs industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
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SEC Publishes Annual Staff Report On Nationally Recognized Statistical Rating Organizations
Date 16/02/2024
The Securities and Exchange Commission’s Office of Credit Ratings published its annual Staff Report to Congress today on Nationally Recognized Statistical Rating Organizations (NRSROs), commonly known as credit rating agencies, to provide findings on its examinations of the agencies, and to discuss the state of competition, transparency, and conflicts of interest among them.
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UK Financial Conduct Authority: Mohammed Zina Sentenced To 22 Months In Prison For Insider Dealing And Fraud
Date 16/02/2024
Following a sentencing hearing at Southwark Crown Court, Mohammed Zina, 35, was today sentenced to 22 months in prison for insider dealing and fraud.
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Palingeo Lists On Euronext Growth Milan
Date 16/02/2024
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2nd listing of 2024 on Euronext Growth Milan
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5th listing on Euronext in 2024
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Total placement volume of the offering equal to €8.1 million
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Supervision With Speed, Force, And Agility, Federal Reserve Vice Chair For Supervision Michael S. Barr, At The Annual Columbia Law School Banking Conference, New York, New York
Date 16/02/2024
Thank you to Columbia University and the organizers for the opportunity to speak today. It has been nearly a year since the sudden failure of Silicon Valley Bank (SVB) and ensuing turmoil in the banking system, events which prompted important questions about how banks manage risks and how we at the Federal Reserve supervise that risk-taking. It is a fitting time to share some reflections on the importance of the day-to-day work of bank supervision and the steps we are taking to improve the speed, force, and agility of supervision.
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SEC Charges Van Eck Associates For Failing To Disclose Influencer’s Role In Connection With ETF Launch
Date 16/02/2024
The Securities and Exchange Commission today announced that registered investment adviser Van Eck Associates Corporation has agreed to pay a $1.75 million civil penalty to settle charges that it failed to disclose a social media influencer’s role in the launch of its new exchange-traded fund (ETF).
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