News Centre

US Office Of The Comptroller Of The Currency Announces Enforcement Actions For September 2024

Date 19/09/2024

The Office of the Comptroller of the Currency (OCC) today released enforcement actions taken against national banks and federal savings associations (banks), and individuals currently and formerly affiliated with banks the OCC supervises.

Canadian Investment Regulatory Organization Releases 2023 – 2024 Annual Report And Inaugural Investor Advisory Panel Annual Report - Highlight Significant Achievements And Strategic Objectives In CIRO’s Second Year

Date 19/09/2024

The Canadian Investment Regulatory Organization (CIRO) has released its Annual Report for 2023-2024, alongside the inaugural Investor Advisory Panel (IAP) Annual Report, marking a year of substantial progress and strategic initiatives.

Prepared Remarks Before The Investor Advisory Committee, SEC Chair Gary Gensler, Washington D.C., Sept. 19, 2024

Date 19/09/2024

Good morning. I am pleased to speak with the Investor Advisory Committee. As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff.

SEC Charges Advisory Firm Macquarie Investment Management Business Trust With Fraud - Firm To Pay Nearly $80 Million In Connection With Overvaluing Assets And Engaging In Unlawful Cross Trades

Date 19/09/2024

The Securities and Exchange Commission today announced registered investment adviser Macquarie Investment Management Business Trust (MIMBT) will pay a total of $79.8 million to settle charges for overvaluing approximately 4,900 largely illiquid collateralized mortgage obligations (CMOs) held in 20 advisory accounts, including 11 retail mutual funds, and for executing hundreds of cross trades between advisory clients that favored certain clients over others.

Canadian Securities Administrators Propose Amendments To Modernize Continuous Disclosure Regime For Investment Funds

Date 19/09/2024

The Canadian Securities Administrators (CSA) have published for comment a series of proposed amendments aimed at modernizing the continuous disclosure regime for investment funds. These proposals are designed to provide investors with more focused and valuable disclosure while reducing the regulatory burden on investment fund managers.

ISDA Publishes Results Of DC Review Consultation

Date 19/09/2024

ISDA has published the results of a market-wide consultation on proposed changes to the structure and governance of the Credit Derivatives Determinations Committees (DCs).

Canadian Securities Regulators Propose Amendments To Mandatory Central Counterparty Clearing Of Derivatives

Date 19/09/2024

The Canadian Securities Administrators (CSA) today published a CSA Notice of Consultation on proposed amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives.

SEC Charges Advisory Firm Inspire Investing With Misleading Investors Regarding Its Investment Strategy

Date 19/09/2024

The Securities and Exchange Commission today charged Idaho-based investment adviser Inspire Investing LLC with making misleading statements and for compliance failures related to the execution of its “biblically responsible investing” strategy.

Pirum Strengthens The EMEA Sales Team With The Hiring Of Jonathan Hodder

Date 19/09/2024

Pirum, a trusted automation and connectivity partner for securities finance and collateral management, today announced the hire of Jonathan Hodder, to join the company’s origination sales in EMEA.

Bank Of England - Asset Purchase Facility: Gilt Sales – Market Notice 19 September 2024

Date 19/09/2024

Market Notice 

At its September 2024 meeting, the MPC voted to reduce the stock of gilts held in the APF by £100 billion over the period from October 2024 to September 2025, to a total of £558 billion.