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Agreement Reached Between The Autorité des marchés Financiers And The Royal Bank Of Canada

Date 02/11/2023

On November 1, 2023, the Autorité des marchés financiers (“AMF”) reached an agreement with the Royal Bank of Canada (“RBC”) following a joint investigation carried out by the AMF and the Ontario Securities Commission (“OSC”), which was conducted in parallel with an investigation carried out by the Securities and Exchange Commission (“SEC”) of the United States. RBC has also reached agreements with the OSC and the SEC. All three agreements arise out of the same conduct.
US Office Of The Comptroller Of The Currency Releases CRA Evaluations For 24 National Banks And Federal Savings Associations

Date 02/11/2023

The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of October 1, 2023, through October 31, 2023. The list contains only national banks, federal savings associations, and insured federal branches of foreign banks that have received ratings. The possible ratings are outstanding, satisfactory, needs to improve, and substantial noncompliance.
NZX Revenue & Shareholder Metrics, Q3 2023

Date 02/11/2023

Please see attached NZX Revenue & Shareholder Metrics for Q3 2023.
Coinbase Releases Third Quarter 2023 Shareholder Letter

Date 02/11/2023

Coinbase Global, Inc. (the “Company” or “Coinbase”) announced today the release of its third quarter 2023 shareholder letter. The letter, including the Company’s financial results, can be found on its Investor Relations website at investor.coinbase.com.
SEC Charges Royal Bank Of Canada With Internal Accounting Controls Violations

Date 02/11/2023

The Securities and Exchange Commission today announced that Canada’s largest bank, Royal Bank of Canada, will pay a $6 million penalty to settle charges that it violated the books and records and internal accounting controls provisions of the securities laws relating to its accounting for its costs of internally developed software.

Nasdaq October 2023 Volumes

Date 02/11/2023

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for October 2023 on its investor relations website. A data sheet showing this information can be found at: http://ir.nasdaq.com/financials/volume-statistics.
SIFMA Testimony At House Subcommittee Highlights Negative Consequences Of SEC Rulemaking

Date 02/11/2023

In testimony delivered today, SIFMA president and CEO Kenneth E. Bentsen, Jr. discussed the impact of the Securities and Exchange Commission’s (SEC) aggressive rulemaking agenda, noting “regulators should ensure their rules keep pace with markets, but transformative changes must be thoughtfully crafted and fully vetted for indirect costs and cumulative effects. It is critical that any changes to the rules governing our capital markets are thoughtfully considered, or we risk damaging our markets’ preeminent global status and harming investors.”
SEC Charges President/CCO Of Prophecy Asset Management Advisory Firm With Multi-Year Fraud

Date 02/11/2023

The Securities and Exchange Commission today charged John Hughes, president and chief compliance officer of registered investment adviser Prophecy Asset Management LP, for his involvement in a multi-year fraud that concealed losses of hundreds of millions of dollars from investors.
Autorité des Marchés Financiers: Draft Regulation Providing Enhanced Rules For Disclosure Of All Costs Related To Segregated Funds

Date 02/11/2023

The Autorité des marchés financiers (the “AMF”) today published for comment its draft regulation (pdf - 223 KB)This link will open in a new window respecting information to be provided to holders of individual variable insurance contracts relating to segregated funds (the “Draft Regulation”). The Draft Regulation is intended to enhance performance, guarantee and cost reporting requirements for segregated funds.
Statement On Rules Relating To Security-Based Swap Execution And Registration And Regulation Of Security-Based Swap Execution Facilities, SEC Commissioner Mark T. Uyeda, Nov. 2, 2023

Date 02/11/2023

I have unaddressed concerns regarding the rule adoption relating to Security-Base Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities. Therefore, I cannot support the adoption as recommended. A more comprehensive statement conveying those concerns will be forthcoming at a later date.