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ASIC And Australian Prudential Regulation Authority Issue Joint Letter On Premium Increases In Life Insurance

Date 14/12/2023

The Australian Securities and Investments Commission (ASIC) and the Australian Prudential Regulation Authority (APRA) have issued a joint letter to life insurers and friendly societies (life companies) about life insurance industry practices in relation to premium increases.
SGX-DT Review Report

Date 14/12/2023

Singapore Exchange Derivatives Trading Limited (SGX-DT) is based in Singapore. It is licensed by the FMA under section 317 of the FMC Act as an overseas regulated market. The Monetary Authority Singapore (MAS) is SGX-DT’s primary regulator.
Japan Financial Services Agency: Policy Plan For Promoting Japan As A Leading Asset Management Center

Date 14/12/2023

The Government of Japan has published "Policy Plan for Promoting Japan as a Leading Asset Management Center", with the aim to reform Japan’s asset management sector and asset ownership.
New Zealand Financial Markets Authority Censures Go Financial Solutions For Breaching Its Licence Obligations

Date 14/12/2023

The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has censured Go Financial Solutions Limited for failing to comply with several obligations under its financial advice provider (FAP) licence.
TMX Group Announces Agreement To Acquire VettaFi -

Date 14/12/2023

TMX invests to expand capabilities in data-driven analytics and indexing solutions for a global client base of issuers and advisors, announces analyst webcast and conference call on December 14, 2023 at 8:00am EST to discuss

ASIC Releases November 2023 Financial Adviser Exam Results

Date 14/12/2023

ASIC today released the exam results from the 23rd Financial Advisers Exam cycle held in November 2023.
Statement On 2024 PCAOB Budget, SEC Commissioner Mark T. Uyeda, Dec. 13, 2023

Date 13/12/2023

Thank you, Chair Gensler. Thank you to the board members and staff from the Public Company Accounting Oversight Board (“PCAOB” or the “Board”) who are here today.
Statement On Standards For Covered Clearing Agencies For U.S. Treasury Securities And Application Of The Broker-Dealer Customer Protection Rule, SEC Commissioner Mark T. Uyeda, Dec. 13, 2023

Date 13/12/2023

Thank you, Chair Gensler. Today, the Commission is considering amendments to require covered clearing agencies to have written policies and procedures reasonably designed to require that their direct participants centrally clear all “eligible secondary market transactions” in U.S. Treasury securities to which it is a counterparty. The Commission would also amend the broker-dealer customer protection rule to permit margin on deposit with covered clearing agencies for U.S. Treasury securities to be counted toward the reserve formulas for their customers and proprietary accounts.
Opening Statement Of CFTC Commissioner Christy Goldsmith Romero: Open Commission Meeting On December 13, 2023 - Protecting Our Critical Market Infrastructure

Date 13/12/2023

This is our last meeting of 2023, a year where derivatives markets have remained stable despite bank failures and geopolitical events. We can’t take that stability for granted. Threats are always changing. The CFTC’s responsibility includes ensuring that markets and critical market infrastructure remain resilient.
Statement On Adoption Of Standards For Covered Clearing Agencies For U.S. Treasury Securities And Application Of The Broker-Dealer Customer Protection Rule With Respect To U.S. Treasury Securities, SEC Commissioner Caroline A. Crenshaw, Dec. 13, 2023

Date 13/12/2023

As I noted at the time of the proposal, it is hard to overstate the importance of the U.S. Treasury market. U.S. Treasury securities are direct obligations of the U.S. Government issued by the Department of the Treasury. The U.S. Treasury market is truly one of the most important financial markets in the world, since Treasury rates are a fundamental benchmark for pricing practically all other financial assets. In both the U.S. and global economies, U.S. Treasury securities serve as a significant investment instrument and hedging vehicle for investors, a benchmark of the “risk free” rate for other financial instruments, a source of liquid assets for funds and brokers, and an important mechanism for the Federal Reserve’s implementation of monetary policy. In fact, U.S. Treasury securities are often used as substitutes for cash.