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  • ASX Announces New Chair As Damian Roche Retires

    Date 11/09/2024

    ASX announces today that David Clarke joins the ASX Limited Board as Non-Executive Director and Chair Elect, and will assume the role of Chair following the company’s Annual General Meeting (AGM) on 28 October 2024. 

  • New Zealand Financial Markets Authority Publishes Ethical Investing Disclosure Insights Update

    Date 11/09/2024

    The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has today published insights from its supervision of funds that claim to have ethical features. The insights are based off findings from reviewing disclosure documents, advertising, reporting on sustainability progress, and whether investments held by funds align with their sector exclusion policies.

  • Dissenting Statement Of CFTC Commissioner Caroline D. Pham On Request For Authority To Appeal From Court Order In Kalshi Matter

    Date 10/09/2024

    Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham issued the following statement on the Commission’s vote on Monday to authorize the CFTC to appeal the September 6, 2024 order by the U.S. District Court for the District of Columbia regarding KalshiEX LLC:

  • SEC Charges John Deere With FCPA Violations For Subsidiary’s Role In Thai Bribery Scheme - Company Falsely Recorded Payments As Legitimate Expenses

    Date 10/09/2024

    The Securities and Exchange Commission today announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) arising out of bribes paid by its wholly owned subsidiary, Wirtgen Thailand. The company is an Illinois-based global manufacturer of agricultural machinery and heavy equipment.

  • Not So Fast: Statement On In the Matter Of Keurig Dr Pepper Inc., SEC Commissioner Hester M. Peirce, Sept. 10, 2024

    Date 10/09/2024

    Is a car company’s claim—proven by company speed tests—that its top-of-the-line sports car can go from 0-60 MPH in 2.9 seconds misleading if the company knows that its more conservative drivers do not press the pedal to the metal? The Commission’s settlement with Keurig Dr Pepper Inc. (“Keurig”) would suggest that it is. The Commission’s Order finds that Keurig violated Exchange Act Section 13(a) and its accompanying Rule 13a-1, which require issuers to file complete and accurate annual reports, for making an analogous claim.[1] The disclosure standard embodied in this settlement may have the positive effect of dissuading companies from talking about immaterial items in their SEC filings, but it also will expose companies to endless second-guessing by the Commission unless they pad any statements they do make with a mountain of caveats. Accordingly, I dissent.

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