News Centre

SIX Exchange Regulation Initiates Investigation Against Spice Private Equity Ltd

Date 01/04/2022

On 1 April 2022, SIX Exchange Regulation AG (SER) initiated an investigation against Spice Private Equity Ltd due to a potential violation of the rules on ad hoc publicity.

SET Heralds 694 Listed Companies Initially Qualified For SET Awards 2022

Date 01/04/2022

The Stock Exchange of Thailand (SET) together with Money & Banking magazine announced 694 listed companies qualified for SET Awards 2022 in the preliminary round before selection, winner announcement and  award presentation ceremony will be taken place in November 2022. SET Awards this year will feature a series of new awards namely Best REIT Performance Award, ESG-related awards under the Best Asset Management Awards’ type, and new group of awards for the Sustainability Excellence category.

Nadex Refrains From Listing Certain Contracts

Date 01/04/2022

Due to activity in the underlying markets upon which the Nadex contracts are based and pursuant to the authority granted in Nadex Rule 12.1(i), Nadex took the following actions:

Trading Schedule Of Moscow Exchange Markets On 1 April

Date 31/03/2022

On 1 April 2022, the Moscow Exchange markets will operate as follows as decided by the Bank of Russia.

FINRA Seeks Advisory Committee Members - Outreach Follows Recent Efforts To Expand Opportunities For Participation

Date 31/03/2022

FINRA today issued Special Notice 3/31/22 to encourage securities industry professionals and non-industry stakeholders from diverse backgrounds to become involved in FINRA’s advisory committees.

Readout: US Deputy Secretary Of The Treasury Wally Adeyemo’s Visit To Brussels, Belgium

Date 31/03/2022

Deputy Secretary of the Treasury Wally Adeyemo traveled to Brussels, Belgium to continue close coordination with the European Union on sanctions imposed on Russia for its unprovoked war on Ukraine. The Deputy Secretary, joined by OFAC Director Andrea Gacki, held a dialogue on sanctions with European Commissioner for Financial Services, Financial Stability, and Capital Markets Union Mairead McGuinness, and Stefano Sannino, Secretary General of the European External Action Service, where the delegations discussed steps to align sanctions implementation and enforcement, expand joint cooperation on sanctions, and further deepen the transatlantic sanctions alliance. While in Brussels, he also met with Bjoern Siebert, Head of Cabinet for the President of the European Commission, and European Commissioner for Economy Paolo Gentiloni. 

US Office Of The Comptroller Of The Currency: Acting Comptroller Discusses Managing Tail Risks

Date 31/03/2022

Acting Comptroller of the Currency Michael J. Hsu today discussed managing low probability, high impact risk events, or tail risks, at the American Bankers Association Risk 2022 Conference. In his remarks, Acting Comptroller Hsu discussed how Russia’s invasion of Ukraine has affected tail risks, and tail risks associated with the trading of crypto-related derivatives.

Financial Sector’s Global Cybersecurity Readiness Exercised By Quantum Dawn VI

Date 31/03/2022

SIFMA today released the summary of key recommendations from its biennial Quantum Dawn cybersecurity exercise conducted in November 2021.  This event enabled financial firms, central banks, regulatory authorities, trade associations, law enforcement and information sharing organizations around the world to rehearse incident response protocols, both internally and across the sector, against a broad range of significant ransomware attacks targeting the financial sector.

Response To Staff Accounting Bulletin No. 121, SEC Commissioner Hester M. Peirce, March 31, 2022

Date 31/03/2022

I write regarding Staff Accounting Bulletin Number 121 (“SAB 121”), which is yet another manifestation of the Securities and Exchange Commission’s scattershot and inefficient approach to crypto.

Testimony Of CFTC Chairman Rostin Behnam Regarding The “State Of The CFTC”

Date 31/03/2022

Introduction

Good morning Chairman Scott, Ranking Member Thompson, and members of the Committee.  I appreciate the opportunity to discuss the state of the Commodity Futures Trading Commission (the “CFTC” or “Agency”) and provide an overview of current priorities.