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Harmonization: A New Era Of Collaboration Between The SEC And CFTC, Paul S. Atkins, Chairman, Remarks At The SEC-CFTC Joint Roundtable On Regulatory Harmonization Efforts, Sept. 29, 2025

Date 29/09/2025

Good afternoon and thank you for joining us. Before I begin, I must remind you that the views that I express here are my own and do not necessarily represent those of the Securities and Exchange Commission or my fellow commissioners. I should also like to thank Acting Chairman Pham, as well as SEC and CFTC staff for organizing this joint roundtable with little advance notice, and of course, our stellar group of panelists for lending their time and expertise to today’s program.

Fiserv Launches Content Next To Accelerate AI-Driven Content Management And Workflow Optimization For Financial Institutions - New Multi-Tenant, Cloud Based Content Management Solution Delivers Robust Document Storage, Workflow And Seamless Integration To Key Systems To Help Financial Institutions Modernize And Automate Their Operations

Date 29/09/2025

Fiserv, Inc. (NYSE: FI), a leading global provider of payments and financial services technology, today announced Content Next™ from Fiserv, a next-generation, multi-tenant, cloud based content management and workflow solution that raises the bar for digital transformation in banking by prioritizing agility, intelligence and the customer experience. Developed in partnership with OpenText, a global leader in secure information management for AI, the solution is purpose-built for operational efficiency, reporting insights, and user-centric design.

SIFMA Fixed Income Market Close Recommendations In The U.S., The U.K., And Japan For U.S. Columbus Day And Japan Health And Sports Day Holidays

Date 29/09/2025

SIFMA has confirmed its previous holiday recommendation for a full market close on Monday, October 13, 2025, for the trading of U.S. dollar-denominated fixed income securities in the U.S., the U.K., and Japan in observance of the U.S. Columbus Day Holiday and Japan Health and Sports Day holidays

FIA’s Lukken Calls For “New Era” In SEC-CFTC Collaboration

Date 29/09/2025

SIFMA Statement On SEC Simultaneous Commission Consideration Of Settlement Offers And Related Waiver Requests Announcement

Date 29/09/2025

SIFMA today released the following statement from Saima S. Ahmed, SIFMA Executive Vice President and General Counsel, on the Securities and Exchange Commission’s announcement related to the Simultaneous Commission Consideration of Settlement Offers and Related Waiver Requests:

ISDA: IQ Interview Yazeed Alnafjan, SAMA

Date 29/09/2025

ISDA published new legal opinions in June that recognise the enforceability of close-out netting in Saudi Arabia under regulations published by the Saudi Central Bank earlier this year. In this interview with IQ, Yazeed Alnafjan, the central bank’s deputy governor for financial innovation, discusses the significance of netting enforceability in the Kingdom.

A Bad Call: Comments At The SEC-CFTC Roundtable On Regulatory Harmonization Efforts, SEC Commissioner Hester M. Peirce, Sept. 29, 2025

Date 29/09/2025

Thank you to our moderators and panelists for an excellent afternoon of discussions. You left us with useful recommendations on policy and substantive issues. Thank you to Chairman Atkins and Acting Chairman Pham for hosting this roundtable, and to the staff at the SEC and CFTC who made it happen.

BC Securities Commission Compliance Report Card Highlights Investment Firms’ Know-Your-Client Deficiencies

Date 29/09/2025

The BC Securities Commission (BCSC)’s latest Compliance Report Card, released today, reflects the past year’s focus on compliance with rules designed to protect investors and put their interests first.

Alberta Securities Commission Sanctions ‘Finfluencer’ James Domenic Floreani And Jayconomics Inc. For Breaching Alberta Securities Laws

Date 29/09/2025

The Alberta Securities Commission (ASC) has banned James Domenic Floreani and Jayconomics Inc. (the Respondents) from participating in the Alberta capital market in certain capacities for a period of two years for breaching the Securities Act (Alberta).

The EBA Launches Its 2025 EU-Wide Transparency Exercise

Date 29/09/2025

The European Banking Authority (EBA) today launched its 2025 EU-wide Transparency Exercise with the aim to enhance transparency and market discipline in the EU financial system. This exercise complements banks’ own Pillar 3 disclosures under the EU Capital Requirements Directive (CRD) and provides market participants with consistent and comparable information on the condition of EU banks.