Mondo Visione Worldwide Financial Markets Intelligence

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  • Andrew Tobin To Join ASX As Chief Financial Officer

    Date 30/08/2022

    ASX Limited (ASX) announces that Andrew Tobin has been appointed its next Chief Financial Officer (CFO). Mr Tobin will start in the role on Monday, 5 September 2022.

  • New Zealand Financial Markets Authority Directs Kalkine To Stop Making Outgoing Sales Calls To New Zealanders After Misleading Marketing Conduct

    Date 30/08/2022

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has directed Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct.

  • Nadex Amends Holiday Product Schedule Guidelines

    Date 29/08/2022

    Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”), Nadex submitted notice to the Commission that Nadex’s Holiday Product Schedule Guidelines is being amended to remove reference to the Germany 40 Call Spread and Binary Contracts, which were delisted at the close of business on August 26, 2022. Additionally, the Holiday Product Schedule Guidelines wa amended to set forth the listing hours for a limited number of Currency contracts on a United States holiday that falls on a Monday. Amendments to the Holiday Product Schedule Guidelines will be effective September 13, 2022.  

  • Auditor Independence And Ethical Responsibilities: Critical Points To Consider When Contemplating An Audit Firm Restructuring - Paul Munter, SEC Acting Chief Accountant, Aug. 29, 2022

    Date 29/08/2022

    Introduction – Complex Business Relationships and Audit Firm Restructurings

    Auditor independence and a culture of professional ethical behavior are critical to an audit firm’s ability to fulfill its gatekeeper responsibilities. Accounting firms must keep these responsibilities in mind in all contexts, including when exploring complex business relationships and firm restructurings. In this regard, we have observed audit firms exploring the sale of a portion of their business to an external party while retaining an equity interest or other form of continuing involvement in that business, or divesting all or portions of the accounting firm’s consulting practice to a third-party entity. While such contemplated sale and divestiture deals are not new, in the view of OCA staff, complex transactions with investors that are not traditional accounting firms, and have not previously been subject to the same independence and ethical responsibilities, elevate the risk to an auditor’s independence with respect to its audit clients. In these complex practice structures and divestitures, it is paramount that the accounting firm fully understands its responsibility for maintaining auditor independence and it discloses such requirements to the non-accounting firm investors involved in the transaction so that the accounting firm can obtain the information necessary to fulfill its responsibilities.

  • CFTC Swaps Report Update

    Date 29/08/2022

    CFTC's Weekly Swaps Report has been updated, and is now available.