News Centre

Coinbase To Participate In The Goldman Sachs Communacopia & Technology Conference

Date 06/09/2022

Coinbase Global, Inc. announced today that Emilie Choi, President and Chief Operating Officer, and Faryar Shirzad, Chief Policy Officer, will participate in a fireside chat at the Goldman Sachs Communacopia & Technology Conference on Monday, September 12, 2022 at 1:15 p.m. PT / 4:15 p.m. ET.

CFTC Chairman Behnam To Be Featured At A University Of Pennsylvania And Wharton School Event

Date 06/09/2022

Robinhood Markets, Inc. To Present At The Barclays Global Financial Services Conference On September 13, 2022

Date 06/09/2022

Today, Robinhood Markets, Inc. (NASDAQ: HOOD) announced that it will be participating in the upcoming Barclays Global Financial Services Conference on September 13, 2022.

CFTC Charges Former Trader For Engaging In A Fraudulent Scheme To Mismark U.S. Dollar Interest Rate Derivatives

Date 06/09/2022

The Commodity Futures Trading Commission today issued an order filing and settling charges against Blaise Brochard of New York, New York, a former trader at a global bank, for engaging in a scheme to mismark positions on the bank’s U.S. dollar interest rate derivatives desk (IRD Desk). The order requires Brochard to pay a $250,000 penalty, cease and desist from violating applicable provisions of the Commodity Exchange Act (CEA) and CFTC regulations, and comply with certain conditions and undertakings, including a three-year ban on trading commodity interests for or on behalf of other persons or entities. 

Remarks By US Deputy Secretary Of The Treasury Wally Adeyemo At The Clearing House And Bank Policy Institute Annual Conference

Date 06/09/2022

Thank you for inviting me to join you today and giving me the chance to speak with you about where the U.S. economy is headed, in light of the Administration’s recent legislative achievements. These accomplishments build on a lesson history has taught us: that when it comes to our greatest challenges, close collaboration between the public and private sectors is essential.

US Office Of The Comptroller Of The Currency Releases Strategic Plan For Fiscal Years 2023-2027

Date 06/09/2022

The Office of the Comptroller of the Currency (OCC) today released its strategic plan for fiscal years (FY) 2023-2027.

ISDA - The Swap - Episode 24: Credibility In Carbon Trading

Date 06/09/2022

The voluntary carbon market is seen as having a key role in the transition to a green economy, but transparency and integrity are critical to its success. Annette Nazareth, chair of the Integrity Council for the Voluntary Carbon Market, talks to Scott O’Malia.

SEC Charges Perceptive Advisors For Failing To Disclose SPAC-Related Conflicts Of Interest

Date 06/09/2022

The Securities and Exchange Commission today charged New York-based investment adviser Perceptive Advisors LLC with failing to disclose conflicts of interest regarding its personnel’s ownership of sponsors of special purpose acquisition companies (SPACs) into which Perceptive advised its clients to invest.

Cboe To Launch New, Real-Time Canadian Equities Market Data Offering

Date 06/09/2022

• Cboe One Canada Feed to provide a comprehensive and complete view into the Canadian equities market through a single consolidated feed
• Will include unique coverage of more than 230 securities listed and traded exclusively on the NEO Exchange
• Marks Cboe's first Canadian data product launch following its recent expansion into the country

Audit Quality And Investor Protection Under The Holding Foreign Companies Accountable Act, Paul Munter, SEC Acting Chief Accountant, Sept. 6, 2022

Date 06/09/2022

Introduction

One of the recent central themes of the Office of the Chief Accountant has been that high-quality audits are foundational to the trust that underlies our capital markets. High-quality audits protect investors, instill shareholder confidence in the quality of the financial information, and enable public companies to raise capital efficiently. The investor protection afforded by high-quality audits is as important to U.S. investors in foreign companies that participate in the U.S. capital markets as it is for investors in domestic companies. In fact, it could be argued that the additional information barriers that may exist when investing in foreign companies makes the role of trusted gatekeepers, like auditors, even more critical for investors in foreign companies. Recently, we have observed instances of foreign issuers—especially foreign issuers located in the People’s Republic of China (“China”) or in Hong Kong—changing their lead auditor from a local registered public accounting firm to a registered public accounting firm located either in the U.S. or elsewhere, generally within the same network. Such arrangements pose special challenges that raise questions about whether the newly engaged registered public accounting firms—whether located in the U.S. or elsewhere—will be able to satisfy their responsibilities to serve as the lead auditor. Accordingly, we direct this statement to those newly engaged lead audit firms located outside of China and Hong Kong for issuer audits of companies based in China or Hong Kong and others who may be considering similar arrangements.