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Federal Reserve Issues FOMC Statement
Date 26/07/2023
Recent indicators suggest that economic activity has been expanding at a moderate pace. Job gains have been robust in recent months, and the unemployment rate has remained low. Inflation remains elevated.
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Harming Investors And Helping Hackers: Statement On Cybersecurity Risk Management, Strategy, Governance, And Incident Disclosure, SEC Commissioner Hester M. Peirce, July 26, 2023
Date 26/07/2023
Thank you, Chair Gensler. Although better than the proposal, this final cybersecurity disclosure rule continues to ignore both the limits to the SEC’s disclosure authority and the best interests of investors. Moreover, the Commission has failed to explain why we need this rule. Accordingly, I dissent.
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Through The Looking Glass: Conflicts Of Interest Associated With The Use Of Predictive Data Analytics By Broker-Dealers And Investment Advisers Proposal, SEC Commissioner Hester M. Peirce, July 26, 2023
Date 26/07/2023
Thank you, Chair Gensler. The best thing I can say for this proposal is that it serves, perhaps unintentionally, as a mirror reflecting the Commission’s distorted thinking. In that mirror, you will see the Commission’s attitude toward technology, which is not neutral, but hostile. It reflects this Commission’s loss of faith in one of the pillars of our regulatory infrastructure: the power of disclosure and the corresponding belief that informed investors are able to think for themselves. Another glance through the looking glass will reveal the Commission's continued degradation of a principles-based regulatory regime, replacing it once again with overly prescriptive rules. And a final look reveals the Commission’s indifference to operational feasibility. I dissent from this proposal and the thinking it embodies.
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Statement Of CFTC Commissioner Christy Goldsmith Romero: Swap Confirmations For The Future - Notice Of Proposed Rule Making For Swap Confirmation Requirements For Swap Execution Facilities
Date 26/07/2023
The regulation of swap markets, as mandated by Dodd-Frank Act reforms, is predicated on transparency, reporting, and recordkeeping. Swap execution facilities (SEF) registered with the CFTC are required under core principle 10 to maintain records of all activities, including a complete audit trail. Commission regulations require a SEF to provide a confirmation of transactions to counterparties, including a written record of all of the terms of the transaction, and to obtain copies of underlying, previously negotiated agreements between the counterparties.
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SEC Proposes Reforms Relating To Investment Advisers Operating Exclusively Through The Internet
Date 26/07/2023
The Securities and Exchange Commission today proposed amendments to the rule permitting certain investment advisers that provide investment advisory services through the internet to register with the Commission. The proposed amendments generally would require an investment adviser relying on the internet adviser registration rule to have at all times an operational interactive website through which the adviser provides digital investment advisory services on an ongoing basis to more than one client. The proposed amendments would also eliminate the de minimis exception from the current rule by proposing to require that an internet investment adviser provide advice to all of its clients exclusively through an operational interactive website, and make certain corresponding changes to Form ADV.
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Modernizing Oversight of Internet Advisers, SEC Commissioner Jaime Lizárraga, July 26, 2023
Date 26/07/2023
The Commission is proposing reforms that would modernize oversight over investment advisers that provide investment advice to clients over the internet.
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Improving The Quality Of Cybersecurity Risk Management Disclosures, SEC Commissioner Jaime Lizárraga, July 26, 2023
Date 26/07/2023
Today, the Commission is voting to adopt a rule that will require public companies to enhance and standardize their disclosures on cybersecurity risk management, strategy, and governance, as well as incident reporting. I am pleased to support this rule because it will strengthen the quality, consistency, and timeliness of cybersecurity-related disclosures to investors.
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Statement On Internet Investment Advisers, SEC Chair Gary Gensler, July 26, 2023
Date 26/07/2023
Today, the Commission is considering a proposal regarding when investment advisers providing advisory services over the internet can register with the Securities and Exchange Commission. I am pleased to support these amendments because, if adopted, they would modernize a 21-year-old rule to better protect investors in a digital age.
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Statement On Conflicts Of Interest Related To Uses Of Predictive Data Analytics, SEc Chair Gary Gensler, July 26, 2023
Date 26/07/2023
Today, the Commission is considering a proposal to address conflicts of interest that may emerge when investment advisers and broker-dealers use predictive data analytics or similar techniques to craft their interactions with investors. I believe that, if adopted, these rules would help protect investors from conflicts of interest—and require that, regardless of the technology used, firms meet their obligations not to place their own interests ahead of investors’ interests.
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Expanding Investor Protection, SEC Commissioner Jaime Lizárraga, July 26, 2023
Date 26/07/2023
Millions of retail investors invest in our capital markets in various ways, like brokerage accounts and individual retirement accounts. These investors increasingly rely on technology to interact with a financial professional, seek investment advice, or execute trades. In some of these interactions, investors are exposed to a range of online tools – chatbots, push notifications, as well as behavioral prompts.
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