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New Zealand Financial Markets Authority: Two Individuals To Pay Penalties For Market Manipulation And Disclosure Breaches Relating To Oceania Natural
Date 24/03/2022
Zhongyang (Sean) Meng and Jiashun (Sam) Qian have been ordered to pay pecuniary penalties of $180,000 and $130,000 respectively for market manipulation and disclosure breaches involving Oceania Natural Limited (ONL) shares.
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SEC Proposes Amendments To Remove References To Credit Ratings From Regulation M
Date 23/03/2022
The Securities and Exchange Commission today voted to propose changes that would remove the references to credit rating agencies from existing exceptions provided in Rule 101 and Rule 102 of Regulation M, a set of rules designed to preserve market integrity by prohibiting activities that could artificially influence the market for an offered security.
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Acting Comptroller Of The US Office Of The Comptroller Of The Currency Discusses Financial Health With UN Secretary-General's Special Advocate H.M. Queen Máxima Of The Netherlands
Date 23/03/2022
Acting Comptroller of the Currency Michael J. Hsu today hosted a visit with Her Majesty Queen Máxima of the Netherlands, the United Nations Secretary-General's Special Advocate for Inclusive Finance for Development (UNSGSA), to promote financial inclusion.
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ISDA Provides Comments On Consolidated Tape For Derivatives And SSTI Threshold
Date 23/03/2022
On March 23, 2022, ISDA provided comments to European member states and members of the European parliament on two key issues related to the proposed revised Markets in Financial Instruments Regulation. The comments concern the consolidated tape for derivatives and the deletion of the size-specific-to-the-instrument threshold.
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SIFMA Fixed Income Market Close Recommendations In The U.S., The U.K., And Japan For Good Friday & Easter Monday Holidays
Date 23/03/2022
SIFMA has confirmed its previous holiday recommendations for the U.S., the U.K., and Japan in observance of the Good Friday and Easter Monday holidays.
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Statement On Jury’s Verdict In Trial Of Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, And Adrian E. Young - Gurbir Grewal, Director, SEC Division Of Enforcement
Date 23/03/2022
Today, after an eight-day trial, a jury serving in the United States District Court for the Eastern District of Pennsylvania ruled in favor of the SEC against Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young and their investment advisory firm, Ambassador Advisors, LLC, for breaching fiduciary duties in connection with mutual fund share class selection practices. Previously, the Court found that Ambassador Advisors failed to adopt and implement written policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940.
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Changyong Rhee To Retire As Director Of The IMFs Asia And Pacific Department
Date 23/03/2022
International Monetary Fund (IMF) Managing Director Kristalina Georgieva announced today that Changyong Rhee, Director of the Fund’s Asia and Pacific Department (APD), intends to retire from the Fund in early April. Mr. Rhee will relinquish his role as APD Director immediately, following his nomination as a candidate for Governor of the Central Bank of Korea.
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Readout: US Secretary Of The Treasury Janet L. Yellen’s Meeting With Queen Máxima Of The Netherlands
Date 23/03/2022
Today, U.S. Secretary of the Treasury Janet L. Yellen met with Queen Máxima of the Netherlands, who serves as the United Nations Secretary-General's Special Advocate for Inclusive Finance for Development (UNSGSA). Secretary Yellen and Queen Máxima discussed financial inclusion and the importance of expanding financial health and well-being to address household financial resilience in the face of economic and climate shocks both globally and in the U.S. Secretary Yellen commended Queen Máxima’s work to support digital financial inclusion globally, and they discussed the importance of consumer protection and education given the expanding complexity and use of digital financial services and digital assets.
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EBA Updates List Of Institutions Involved In The 2022 Supervisory Benchmarking Exercise
Date 23/03/2022
The European Banking Authority (EBA) published today an updated list of institutions, which have a reporting obligation for the purpose of the 2022 EU supervisory benchmarking exercise. The EBA will be conducting the 2022 benchmarking exercise on a sample of 115 banks from 16 countries across the EU and the European Economic Area. The EBA runs this exercise leveraging on established data collection procedures and formats of regular supervisory reporting and assists Competent Authorities in assessing the quality of internal approaches used to calculate risk weighted exposure amounts.
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MIAX Options: Extension Of SPIKES Options Market Maker Incentive Program Until June 30, 2022
Date 23/03/2022
MIAX Options has extended the monthly Market Maker Incentive Program (the “Incentive Program”) for SPIKES Options until June 30, 2022.
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