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Monetary Authority Of Singapore Reprimands Mr Tan Chuan Lam For Failing To Discharge His Duty And Function As Chief Executive Officer And Director
Date 10/09/2024
The Monetary Authority of Singapore (MAS) has reprimanded Mr Tan Chuan Lam, the Chief Executive Officer (CEO) and a director of the formerly registered insurance broker, Acesynergy Brokers Pte. Ltd. (ABPL), for breaches committed by ABPL under the Insurance Act.
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Circular Of Shanghai International Energy Exchange On Trading Adjustments For The Mid-Autumn Festival 2024
Date 10/09/2024
Shanghai International Energy Exchange has released its Circular on Trading Adjustments for the Mid-Autumn Festival 2024 as follows:
In accordance with the Trading Schedule during National Holidays for Year 2024, Shanghai International Energy Exchange (hereinafter referred to as “INE”) hereby notifies the trading adjustments for the Mid-Autumn Festival 2024 as follows:
1. The market will be closed from 3:00 p.m. of September 13, 2024 to September 17, 2024.
The market will resume trading on September 18, 2024 with the central auction session from 8:55 a.m. to 9:00 a.m. and the continuous trading on the night of that day.
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Notice On Adjustments To Margins And Price Limits Of Zhengzhou Commodity Exchange Products During 2024 Mid-Autumn Festival Holidays
Date 10/09/2024
According to Article 8 of the Risk Control Rules of Zhengzhou Commodity Exchange, Zhengzhou Commodity Exchange (ZCE) hereby adjusts margins and price limits of some futures as follows:
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Dalian Commodity Exchange: Notice On Strengthening Risk Management During 2024 Mid-Autumn Festival Holiday
Date 10/09/2024
The price limits and trading margins of all products on Dalian Commodity Exchange will remain unchanged during 2024 Mid-Autumn Festival Holiday. All members are required to send risk alerts to the clients and intensify the prevention of market risks, so as to ensure the smooth market operation.
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Zhengzhou Commodity Exchange: Notice On Adjustments To Transaction Fees For Some Futures Contracts
Date 10/09/2024
According to Article 27 of the Futures Clearing Rules of Zhengzhou Commodity Exchange, Zhengzhou Commodity Exchange(ZCE) has decided upon discussion that starting from the night trading session on September 11, 2024, the transaction fees and intra-day transaction fees for RM2411, RM2501, OI2411, OI2501 will be adjusted to 5 Yuan per lot and 5 Yuan per lot respectively.
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ASIC Calls On Product Issuers To Review Distribution Practices For DDO Compliance
Date 10/09/2024
ASIC is calling on product issuers to ensure distribution practices are up to scratch, pointing to flawed consumer questionnaires being the catalyst for some recent interim stop orders.
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New Zealand Financial Markets Authority: Understanding Artificial Intelligence In Financial Services
Date 10/09/2024
The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has today published research on the use of Artificial Intelligence (AI) in New Zealand’s financial services sector.
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Robinhood Markets, Inc. Reports August 2024 Operating Data
Date 09/09/2024
Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today reported select monthly operating data for August 2024:
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SEC As EQCF: Statement On Public Company Accounting Oversight Board - Notice Of Filing Of Proposed Rules On A Firm’s System Of Quality Control And Related Amendments To PCAOB Standards, SEC Commissioner Hester M. Peirce, Sept. 9, 2024
Date 09/09/2024
Auditors play a critical role in maintaining healthy capital markets. Comprehensive, dynamic quality control systems help audit firms fulfill their mission. Troublingly high audit deficiency rates, though likely attributable to multiple causes, suggest that the five-year-long effort by the Public Company Accounting Oversight Board (“PCAOB” or “Board”) to revamp its outdated quality control standards was warranted. Getting the quality control standard right, however, would have required more time for additional pointed questions, comment, reflection, and revision. The PCAOB, now with the Commission’s assent, cut the process short and put out QC 1000, a standard that still needs work. Accordingly, I am unable to support it.
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SEC Charges Nine Investment Advisers In Ongoing Sweep Into Marketing Rule Violations, Firms Made Untrue Or Unsubstantiated Claims Or Lacked Required Disclosures
Date 09/09/2024
The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or testimonials, endorsements, or third-party ratings that lacked required disclosures. All nine firms have agreed to settle the SEC’s charges and to pay $1,240,000 in combined civil penalties.