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Japan Financial Services Agency: International Forum Of Independent Audit Regulators Published The Report On 2021 Survey Of Inspection Findings

Date 05/04/2022

The International Forum of Independent Audit Regulators (IFIAR) released “Survey of Inspection Findings 2021”, a report on the results of its tenth annual survey of audit inspection findings identified by IFIAR member audit oversight bodies.
ASIC Takes Action Against Macquarie Bank For Alleged Failures To Properly Monitor Third Party Withdrawals From Customer Accounts

Date 05/04/2022

ASIC has commenced civil penalty proceedings in the Federal Court against Macquarie Bank Ltd for failing to adequately monitor and control transactions by third parties, such as financial advisers, on their customers’ cash management accounts.
Statement On Jury’s Verdict In Trial Of Henry Sargent, Gurbir S. Grewal, SEC Director, Division Of Enforcement

Date 04/04/2022

Today, after a nine-day trial, a jury serving in the United States District Court for the District of Massachusetts ruled in favor of the SEC against Connecticut attorney Henry Sargent. The jury found that Sargent committed securities fraud in connection with a scheme to disguise stock sales by corporate affiliates. The SEC charged that Sargent reaped approximately $900,000 in proceeds from his scheme.
ISDA Responds To ESMA On Margin Procyclicality Tools

Date 04/04/2022

ISDA members welcome this consultation and ESMA’s analytical work on anti-procyclicality (APC) tools shared in the appendix. We are encouraged by ESMA’s focus and thought leadership on this important topic.
NZX Shareholder Metrics - March 2022

Date 04/04/2022

Please see attached NZX Limited shareholder metrics for March 2022.

ISDA - The Swap - Episode 20: From Climate to Crypto

Date 04/04/2022

Central banks face a wide range of issues in 2022, from the rapid development of sustainable finance to the rise of crypto assets and the potential for central bank digital currencies. Sylvie Goulard, second deputy governor at the Banque de France, joins ISDA’s Scott O’Malia to discuss.
SIFMA Statement On JOBS Act 4.0 Discussion Draft

Date 04/04/2022

SIFMA released the following statement today from president and CEO Kenneth E. Bentsen, Jr., on a discussion draft of legislation (JOBS Act 4.0) aimed at accelerating new business formation, ahead of the 10th Anniversary of the JOBS Act:
Prepared Remarks Of SEC Chair Gary Gensler On Crypto Markets, Penn Law Capital Markets Association Annual Conference

Date 04/04/2022

Thank you. It’s great to be with you all at this event, particularly as the University of Pennsylvania is my alma mater. I was over at Wharton, and what I knew of the law school is that the library stacks were a great place to study. It was so quiet there, though I don’t know if that’s still the case.
Readout: US Deputy Secretary Of The Treasury Wally Adeyemo’s Visit To Berlin, Germany

Date 04/04/2022

Deputy Secretary of the Treasury Wally Adeyemo traveled to Berlin, Germany to conclude his European trip focused on coordinating economic pressure on Russia for its war against Ukraine. He met with German government counterparts, including Wolfgang Schmidt, Head of the Federal Chancellery, Dr. Jörg Kukies, Chief Economic and EU Advisor to the German Chancellor, Luise Hölscher, State Secretary for the Ministry of Finance, Udo Philipp, State Secretary for the Federal Ministry for Economic Affairs and Climate Action, and Susanne Baumann, State Secretary for the Federal Foreign Office. They discussed further coordination on sanctions, including implementation and combatting sanctions evasion efforts, such as those involving the use of cryptocurrency. They also discussed ways to increase costs on Russia while mitigating spillover effects. Deputy Secretary Adeyemo then met with German officials participating in the multilateral Russian Elites, Proxies, and Oligarchs (REPO) Task Force to freeze and seize assets of sanctioned Russian elites.
CFTC Swaps Report Update

Date 04/04/2022

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