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ASIC Issues Infringement Notices Against Investment Manager For Greenwashing

Date 02/12/2022

ASIC has issued three infringement notices to investment manager Vanguard Investments Australia Ltd (Vanguard) in further action against alleged greenwashing.
Nine Shanghai Stock Exchange Companies Under AVIC Hold Collective Performance Meeting To Make New Advances On High-Quality Development

Date 02/12/2022

On November 29, 2022, nine listed companies on the Shanghai Stock Exchange (SSE) under Aviation Industry Corporation of China, Ltd. (AVIC), including AVIC Industry-Finance Holdings Co., Ltd., China Avionics Systems Co., Ltd. and AVIC (Chengdu) UAS Co., Ltd., held a collective performance meeting themed "Build China into an aviation power and promote high-quality development" at the SSE Roadshow Center, which was simulcast on multiple platforms. At the meeting, the management of listed companies shared their development prospects, strategic plans and business performance via video and Internet interaction, and had in-depth exchanges on issues of concern to investors.
New Zealand Financial Markets Authority Releases 2022 CPA Australia And NZICA Accredited Body Reports

Date 02/12/2022

The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has published its annual accredited body reports for CPA Australia and the New Zealand Institute of Chartered Accountants (NZICA).
Statement Of CFTC Commissioner Kristin N. Johnson Regarding CFTC Consent Order Of $2.8 Million In Restitution For Virtual Currency Fraud - A Call To Action: Let’s Use Our Existing Authority To Stop Crypto-Fraud

Date 01/12/2022

Over the last several months, and with increasing escalation in recent weeks, liquidity crises and a lack of responsible governance at cryptocurrency exchanges and other prominent crypto-intermediaries have roiled the digital asset ecosystem. A series of bankruptcy filings reveals a grim portrait of some of the most egregious corporate governance and risk management failures in recent financial markets history. All too often, the details reveal little, if any, attempt to effectuate even minimal corporate governance through board oversight; management remarkably characterized by dereliction of duty; staggering, undisclosed conflicts of interest; commingling of customer funds with the proprietary assets of trading firms or related entities; lending or reinvestment of customer funds in highly risky asset classes; no evidence of audited financial statements; and sophisticated Ocean’s Eleven cyber-heists as well as traditional garden variety-styled fraud.
CFTC: Federal Court Orders Rhode Island Man To Pay More Than $2.8 Million In Restitution For Virtual Currency Fraud

Date 01/12/2022

The Commodity Futures Trading Commission today announced the U. S. District Court for the Southern District of New York entered a consent order on November 29 for a permanent injunction, restitution, and equitable relief against Jeremy Spence of Bristol, Rhode Island. Spence, at times, conducted business as Coin Signals.

Remarks By US Assistant Secretary For Financial Markets Joshua Frost On The Historical And Current Perspectives On The Debt Limit At The Federal Reserve Bank Of New York’s Annual Primary Dealers Meeting

Date 01/12/2022

Good afternoon and thank you to the New York Fed for inviting me to talk with you today. I’m delighted that circumstances permit our meeting in person again after these past few years of virtual interaction. In my role as Assistant Secretary for Financial Markets at Treasury, one of my main responsibilities is overseeing Treasury’s Office of Debt Management, which is the policy team responsible for developing the marketable debt issuance strategy for the federal government.
US Office Of The Comptroller Of The Currency Reduces 2023 Assessments On National Banks And Federal Savings Associations

Date 01/12/2022

The Office of the Comptroller of the Currency (OCC) is publishing its assessment rates for the 2023 calendar year, reducing the rates in the general assessment fee schedule, and maintaining assessment rates from 2022 for the independent trust and independent credit card fee schedules.
FIA October 2022 SEF Tracker

Date 01/12/2022

Trading volume on swap execution facilities reached $742.2 billion in average notional value per day during October 2022. This was down 9.9% from the previous month and down 31.8% from the same month of the previous year. Trading was down in every sector.
Why Bank Capital Matters - Federal Reserve Vice Chair For Supervision Michael S. Barr, At The American Enterprise Institute, Washington, D.C. (Virtual)

Date 01/12/2022

In my first speech as Vice Chair for Supervision in September, I said that the Federal Reserve Board would soon engage in a holistic review of capital standards. My argument, then and now, is that our review of regulatory policy must be a periodic feature of bank oversight. Banking and the financial system continuously evolve, and regulation must adapt to address emerging risks. Bank capital is strong, but in doing our review, we should and are being humble about our ability—or that of bank managers—to predict how a future financial crisis might unfold, how losses might be incurred, and what the effect might be on the financial system and our broader economy. That humility, that skepticism, will serve us well in crafting a capital framework that is enduring and effective. It will help make sure that we do not lose the hard-fought gains in resilience over the past decade and that we prepare for the future.
Ontario Securities Commission Publishes 2022 Corporate Finance Branch Report

Date 01/12/2022

The Ontario Securities Commission (OSC) today published its annual Corporate Finance Branch Report, an important resource to help issuers and their advisors with their reporting obligations.