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ASIC: ANZ Penalised $10 Million Over Non-Compliant Home Loan Introducer Program

Date 10/03/2023

ANZ has been penalised $10 million by the Federal Court in relation to its Home Loan Introducer Program (Introducer Program).
Opening Remarks By Dato’ Seri Dr. Awang Adek Haji Hussin, Chairman, Securities Commission Malaysia (SC) At The SC – Securities Industry Development Corporation (SIDC), SRI Taxonomy: Insights And Implementation On 10 March 2023

Date 10/03/2023

As sustainable investments gain momentum, market participants are increasingly looking for more clarity and standardisation of economic activities that would qualify as sustainable investments. On 12 December 2022, the SC released the principles-based sustainable and responsible investment taxonomy for the Malaysian capital market (SRI Taxonomy).
US Department Of Justice: Former Wall Street Precious Metal Traders Sentenced For Wire Fraud

Date 09/03/2023

Two former Wall Street traders were each sentenced today to one year and one day in prison for engaging in a multi-year fraud scheme to manipulate U.S. commodities markets for publicly traded precious metals futures contracts.
New Zealand's Financial Markets Authority Warns Du Val Capital Partners Limited Over Misleading Or Deceptive Statements To Investors In The Du Val Mortgage Fund

Date 09/03/2023

The FMA has warned Du Val Capital Partners Limited (DVCP), the general partner of the Du Val Mortgage Fund Limited Partnership (Du Val Mortgage Fund, MFLP, the Fund) and Du Val Group.
Final ASIC Update: Compensation For Financial Advice Related Misconduct As At 31 December 2022

Date 09/03/2023

Six of Australia's largest banking and financial services institutions have paid or offered a total of $4.7 billion in compensation, as at 31 December 2022, to customers who suffered loss or detriment because of fees for no service misconduct or non-compliant advice.

New York Attorney General James Continues Crackdown On Unregistered Cryptocurrency Platforms - AG James Sues KuCoin For Allowing Investors In New York To Buy And Sell Crypto Without Registering With The State - Lawsuit Marks AG James’ Eighth Action To Rein In Shadowy Cryptocurrency Platforms

Date 09/03/2023

New York Attorney General Letitia James today continued her efforts to crack down on unregistered cryptocurrency platforms by filing a lawsuit against KuCoin for failing to register as a securities and commodities broker-dealer and falsely representing itself as an exchange. The Office of the Attorney General (OAG) was able to buy and sell cryptocurrencies on KuCoin in New York even though the company is not registered in the state. Through this enforcement action, Attorney General James seeks to stop KuCoin from operating in New York and to block access to its website until it complies with the law. Today’s action is the latest in Attorney General James’ efforts to rein in cryptocurrency platforms.
SEC Charges Software Company Blackbaud Inc. For Misleading Disclosures About Ransomware Attack That Impacted Charitable Donors

Date 09/03/2023

The Securities and Exchange Commission today announced that Blackbaud Inc., a South Carolina-based public company that provides donor data management software to non-profit organizations, agreed to pay $3 million to settle charges for making misleading disclosures about a 2020 ransomware attack that impacted more than 13,000 customers.
Nasdaq Announces End Of Month Open Short Interest Positions in Nasdaq Stocks As Of Settlement Date February 28, 2023

Date 09/03/2023

At the end of the settlement date of February 28, 2023, short interest in 3,441 Nasdaq Global Market^SM securities totaled 10,071,117,158 shares compared with 9,937,951,277 shares in 3,455 Global Market issues reported for the prior settlement date of February 15, 2023. The end of February short interest represents 2.78 days average daily Nasdaq Global Market share volume for the reporting period, compared with 2.68 days for the prior reporting period.
NYSE Group Consolidated Short Interest Report

Date 09/03/2023

NYSE today reported short interest as of the close of business on the settlement date of February 28, 2023.
UK Statement Of Endorsement: Ajay Banga

Date 09/03/2023

The UK has announced its support of Ajay Banga for World Bank Group President.