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NZX Shareholder Metrics - September 202

Date 04/10/2022

Please see attached NZX Limited Shareholder Metrics for September 2022.

Robinhood Markets, Inc. To Announce Third Quarter 2022 Results On November 2, 2022

Date 04/10/2022

Today, Robinhood Markets, Inc. (NASDAQ: HOOD) announced that it will release its third quarter 2022 financial results on Wednesday, November 2, 2022 after market close. An earnings conference call will be held at 2:00 PM PT/5:00 PM ET on the same day. A live webcast of the call and supporting materials will be available at investors.robinhood.com. Following the call, a replay and transcript will also be available on the same website.

ISDA, FIA And IIF Respond To CPMI/IOSCO Discussion Paper On NDL

Date 04/10/2022

FIA, IIF and ISDA (the Associations) applaud CPMI/IOSCO for the discussion paper “A discussion paper on central counterparty practices to address non-default losses”, (the Discussion Paper). The Discussion Paper is a helpful stock-take of CCP practices, including identification where practices seem inconsistent with the PFMIs. We also welcome that notable practices are highlighted.

ISDA: Climate Risk Scenario Analysis For The Trading Book

Date 04/10/2022

As climate-related events continue to occur with increasing frequency and severity, environmental risks need to be considered in the trading book given the value of financial instruments that may be affected by environmental factors.

CFTC Commissioner Goldsmith Romero To Participate In A Regulatory & Policy Roundtable At The Financial Markets Quality Conference 2022

Date 04/10/2022

FINRA Fines UBS Securities $2.5 Million For Regulation SHO Violations And Supervisory Failures

Date 04/10/2022

FINRA announced today that it has fined UBS Securities LLC (UBS) $2.5 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of nine years.

ISDA Annual Legal Forum, October 4, 2022, Opening Remarks, Katherine Tew Darras, General Counsel, ISDA

Date 04/10/2022

Good morning, everyone. Welcome to ISDA’s Annual Legal Forum. This is the first time we’ve been able to run this particular event in person since before the pandemic, so it’s great to have you all here in the room. I certainly missed having the ability to interact and engage with fellow lawyers at events like these – being able to network, share ideas and collaborate with others is extremely valuable, so thank you all for coming.

CFTC Commissioner Goldsmith Romero To Give Closing Remarks At DC Fintech Week 2022

Date 04/10/2022

FINRA Foundation Awards 2022 Ketchum Prize To Cesar Escalante - University Of Georgia Professor Recognized For Pioneering Research And Advocacy To Advance Financial Inclusion And Alleviate Racial And Gender Bias In Agricultural Lending

Date 04/10/2022

The FINRA Investor Education Foundation (FINRA Foundation) today awarded Cesar Escalante the 2022 Ketchum Prize—its highest honor—in recognition of his outstanding service and research to advance financial capability and inclusion in the U.S.

Technology’s Impact On The Post-Pandemic Economy, Federal Reserve Governor Philip N. Jefferson At “Technology-Enabled Disruption: Lessons From The Pandemic And The Path Ahead,” A Conference Organized By The Federal Reserve Banks Of Atlanta, Dallas, And Richmond

Date 04/10/2022

Good morning, and thank you. It is a pleasure to be here today. I am happy to be giving my first speech as a member of the Board of Governors at the Federal Reserve Bank of Atlanta. I would like to thank the Atlanta, Dallas, and Richmond Feds for inviting me today and for bringing together this collection of expertise and research.