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Intercontinental Exchange Chair & CEO Jeffrey C. Sprecher To Present At The Piper Sandler Global Exchange And FinTech Conference On June 8

Date 25/05/2023

Intercontinental Exchange, Inc. (NYSE:ICE), a leading global provider of data, technology, and market infrastructure, announced today that Jeffrey C. Sprecher, Chair and CEO, will present at the Piper Sandler Global Exchange and FinTech Conference. The presentation will take place on Thursday, June 8 at 11:00 a.m. ET. The presentation will be available live and in replay via webcast and can be accessed in the investor relations and media section of ICE’s website at http://ir.theice.com/.
Forests And Trees: Remarks Before The 2023 Municipal Securities Disclosure Conference, SEC Commissioner Hester M. Peirce, Washington D.C., May 10, 2023

Date 25/05/2023

I am grateful for the chance to be part of today’s conference, albeit only a virtual part. Thank you to Dave Sanchez and the Office of Municipal Securities for the important work you do, including outreach events like this conference. Convening experts and people with first-hand knowledge is a good way to work through difficult issues. Discussions like those that make up today’s event are a tool we should employ to think through the many complicated and consequential issues on the Commission’s agenda. To all the panelists, thank you for taking part in the conference, and to those watching, thank you for your interest. The views that I will share with you are my own and not necessarily those of the Securities and Exchange Commission (“SEC”) or my fellow Commissioners.
U.S. Department Of The Treasury Kicks Off Public-Private Executive Steering Group To Address Cloud Report Recommendations

Date 25/05/2023

The U.S. Department of the Treasury today announced the formal launch of the Cloud Executive Steering Group (CESG), a public-private partnership dedicated to bolstering regulatory and private sector cooperation. First announced as part of Treasury’s Financial Services Sector’s Adoption of Cloud Services report released in February), the multi-pronged follow-up effort aims to ensure that Treasury, financial federal regulators, and the financial sector work together to address challenges associated with the increasing trend of cloud adoption identified in the report. CESG will report out to the Financial Stability Oversight Council (FSOC), Financial and Banking Information Infrastructure Committee (FBIIC), and the Financial Services Sector Coordinating Council (FSSCC). The CESG will be chaired by leaders in the financial sector with deep knowledge of cybersecurity needs of the financial services sector who will help lead the public private engagement, and drive a collective path forward. Member agencies and firms of the FBIIC and FSSCC will serve as leads for the partnerships launched by the CESG.
SIFMA Statement On HFSC Vote To Extend MiFID II No-Action Relief

Date 25/05/2023

SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on the House Financial Services Committee passage of H.R. 2622, which would direct the Securities and Exchange Commission’s (SEC) to extend the MiFID II no-action relief for six months and study the potential impact of the expiration of the relief:
US Treasury Sanctions The Head Of The Wagner Group In Mali

Date 25/05/2023

Today, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) sanctioned Ivan Aleksandrovich Maslov (Maslov), the head of Russian Private Military Company ‘Wagner’ (Wagner Group) paramilitary units and its principal administrator based in Mali. The Wagner Group and its leader, Yevgeniy Viktorovich Prigozhin, are sanctioned under multiple authorities, including for support of Russia’s war against Ukraine. The Wagner Group may be attempting to obscure its efforts to acquire military equipment for use in Ukraine, including by working through Mali and other countries where it has a foothold. The United States opposes efforts by any country to assist Russia through the Wagner Group.

US Office Of The Comptroller Of The Currency Revises Bank Enforcement Manual To Address Actions Against Banks With Persistent Weaknesses

Date 25/05/2023

The Office of the Comptroller of the Currency (OCC) today announced revisions to its policies and procedures manual on bank enforcement actions to reflect its consideration of actions against banks that exhibit or fail to correct persistent weaknesses.
ISDA - The Swap - Episode 32: Talking TAC

Date 25/05/2023

The threat of cyberattacks and vulnerabilities in the crypto market are among the issues being discussed by the Commodity Futures Trading Commission’s Technology Advisory Committee. The committee’s sponsor, CFTC commissioner Christy Goldsmith Romero, discusses its priorities and objectives.
Report From FINRA Board Of Governors Meeting – May 2023 - Board Appoints Lisa Fairfax As New Public Governor, Approves 2022 Annual Financial Report And Adds New Members To Advisory Committees

Date 25/05/2023

FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.
CFTC Orders A California Commodity Trading Advisor To Pay More Than $4 Million For Fraud And Registration Violations

Date 25/05/2023

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Sharief Deona McDowell, of Loma Linda, California, for fraud in connection with options on commodity futures contracts by a commodity trading advisor (CTA) and for failing to register as a CTA. The order requires McDowell to pay $2,376,509.96 in restitution and a $2,376,509.96 civil monetary penalty. The CFTC also ordered McDowell to cease and desist from further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged, and imposed permanent registration and trading bans.
New York Department of Financial Services Superintendent Harris Announces $4.25 Million Cybersecurity Settlement With OneMain Financial Group LLC - OneMain Cybersecurity Control Failures Significantly Increased The Company’s Vulnerability To Cyber Attacks

Date 25/05/2023

Superintendent of Financial Services Adrienne A. Harris announced today that OneMain Financial Group LLC (“OneMain”) will pay a $4.25 million penalty to New York State for violations of DFS’s Cybersecurity Regulation (23 NYCRR Part 500). OneMain failed to effectively manage third-party service provider risk, manage access privileges, and maintain a formal application security development methodology, significantly increasing the company’s vulnerability to cybersecurity events.