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Statement On Fixed Income Trading And Investment Company Act Rule 17a-7, SEC Commissioner Elad L. Roisman, March 11, 2021

Date 11/03/2021

I commend the Division of Investment Management for seeking comment on Rule 17a-7 under the Investment Company Act of 1940 and the trading of fixed income securities.
Readout: US Secretary Of The Treasury Janet L. Yellen’s Call With Brazilian Economy Minister Paulo Guedes

Date 11/03/2021

Earlier today, Secretary of the Treasury Janet L. Yellen spoke with Brazilian Economy Minister Paulo Guedes. Secretary Yellen conveyed her intention to deepen cooperation with Brazil to address key regional and global challenges, including supporting a strong recovery from the COVID-19 pandemic, fighting inequality, developing sustainable infrastructure, and forcefully addressing the threat of climate change. The Secretary looked forward to engagement on a productive agenda to help protect the Amazon and secure sustainable livelihoods for local communities.
New York State Department Of Financial Services Superintendent Lacewell Announces DFS Grants Virtual Currency And Money Transmitter Licenses To Bakkt Marketplace, LLC

Date 11/03/2021

Financial Services Superintendent Linda A. Lacewell today announced that the New York State Department of Financial Services (DFS) has approved the application of Bakkt Marketplace, LLC, a wholly owned subsidiary of Bakkt Holdings, LLC, for virtual currency and money transmitter licenses.
SEC: Staff Statement On Investment Company Cross Trading, Division Of Investment Management Staff

Date 11/03/2021

This Staff Statement is presented by the Staff of the Division of Investment Management (the “Staff”). In this statement, the Staff addresses certain aspects of investment company cross trading. The Staff is interested in feedback on ways to enhance the regulatory regime governing investment company cross trading.
Canadian Securities Regulators Outline Disclosure Expectations For Reporting Issuers Dealing In Crypto Assets

Date 11/03/2021

The Canadian Securities Administrators (CSA) today published guidance to improve the quality of disclosures provided by issuers that engage materially with crypto assets (crypto asset reporting issuers).

BOX Options Market: DST Time Change

Date 11/03/2021

Due to the Daylight Saving Time (DST) change scheduled for this weekend, connection to the BOX Options Market (“BOX”) Trading System will NOT be available Sunday, March 14, 2021. Participants will be able to reconnect to BOX on Monday morning, March 15, 2021.
ESG Disclosure – Keeping Pace With Developments Affecting Investors, Public Companies And The Capital Market, John Coates Acting Director, SEC Division Of Corporation Finance, Statement Published In Connection With Remarks At The 33rd Annual Tulane Corporate Law Institute[1]

Date 11/03/2021

Not long ago, the title of this statement would have needed to unpack “ESG” into Environmental, Social and Governance. That ESG no longer needs to be explained illustrates how important these issues have become to today’s investors, public companies and capital markets. It also illustrates the pace of ESG developments. There remains substantial debate over the precise contents and details of what ESG disclosures might or should encompass. Part of the difficulty is in the fact that ESG is at the same time very broad, touching every company in some manner, but also quite specific in that the ESG issues companies face can vary significantly based on their industry, geographic location and other factors. As such, there is no one set of metrics that properly covers all ESG issues for all companies. Moreover, the landscape is changing rapidly so issues that yesterday were only peripheral today are taking on greater importance. It is against this backdrop that I think about the regulation of ESG disclosures.
Moscow Exchange: Risk Parameters Change On Securities Market

Date 11/03/2021

CCP NCC changes PcH_max parameter value that defines price up limit for KROT and KROTP shares on Securities market starting from March 12, 2021:
Euronext Announces Quarterly Review Results Of The CAC® Family Indices

Date 11/03/2021

Euronext today announced the results of the quarterly review for the CAC® Family indices. The changes due to the review will be effective from Monday, 22 March 2021.
Moscow Exchange: Risk Parameters Change For The Security FCX-RM

Date 11/03/2021

As per the Securities market risk parameters methodology, on 11.03.2021, 19-50 (MSK) the upper bound of the price band (up to 2926) and initial margins (up to 28.75 %) for the security FCX-RM were changed. New values are available here