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oneZero Releases Algorithmic Pricing Module To Give Institutional Clients Even Greater Control - Allows The Creation Of Truly Bespoke Pricing

Date 23/03/2021

oneZero, a global leader in multi-asset enterprise trading technology solutions, today released the Algorithmic Pricing Module, an advanced price creation tool which facilitates the formation of customised pricing for each recipient, utilising brokers’ own data constructs and algorithms.
Plenitude Appoints former HSBC Managing Director Barbara Patow As Senior Advisor

Date 23/03/2021

Plenitude, the Financial Crime, Risk and Compliance specialists offering advisory, transformation services and innovative RegTech products, has appointed Barbara Patow as Senior Advisor. Barbara will play a key role in providing advice and assisting clients with enhancing their Financial Crime Compliance (“FCC”) control frameworks in order for them to more effectively manage financial crime risk. She will also help guide the business strategy and growth plans for Plenitude.
UK Financial Conduct Authority: The Implementation Period For Any Rules Arising From CP20/19

Date 23/03/2021

In our consultation on general insurance pricing practices, CP20/19, we proposed that firms would have 4 months to implement any rules that we might make. Following feedback, we propose to amend this timetable to give until the end of September 2021 for the systems and controls rules and the product governance rules and until the end of 2021 for the pricing, auto-renewal and reporting requirements. In reaching this decision, we have sought to balance ensuring firms have sufficient time to put the changes into effect and acting quickly to address consumer harm.
Hong Kong Securities And Futures Commission Reprimands And Fines GEO Securities Limited $6.3 Million For Regulatory Breaches

Date 23/03/2021

The Securities and Futures Commission (SFC) has reprimanded and fined GEO Securities Limited (GEO) $6.3 million for breaching its licensing conditions and failures related to the sale of unlisted bonds.
International Forum Of Independent Audit Regulators Published The Report On 2020 Survey Of Inspection Findings

Date 23/03/2021

The International Forum of Independent Audit Regulators (IFIAR) released “Survey of Inspection Findings 2020”, a report on the results of its ninth annual survey of audit inspection findings identified by IFIAR member audit oversight bodies.

Tokyo Stock Exchange: Awards For Outstanding ETF Market Makers

Date 23/03/2021

Tokyo Stock Exchange, Inc. (hereinafter referred to as "the Company") established the ETF Market Making Scheme in July 2018 with the aim of improving liquidity in the ETF market, and has made a number of improvements since its establishment. Under this scheme, market makers have been continuously showing quotes for a large number of ETFs, and this has resulted in a significant improvement in liquidity for many ETFs. Therefore, in order to honor market makers who have made significant contributions to liquidity provision and to notify this scheme broadly, TSE is pleased to present awards to outstanding ETF market makers.
For details, please refer to the following attachment.
Closing Remarks By ASO Taro, Japan's Deputy Prime Minister, Minister Of Finance And Minister Of State For Financial Services At FIN/SUM 2021, Tokyo

Date 23/03/2021

Good evening, distinguished guests, ladies and gentlemen. I am Taro Aso, Deputy Prime Minister of Japan in charge of Finance.
Envy Asset Management And Envy Global Trading Not Licensed By Monetary Authority Of Singapore

Date 23/03/2021

Referring to the charges of cheating and fraudulent trading brought in the State Courts against Ng Yu Zhi, a director of Envy Asset Management Pte Ltd (EAM) and Envy Global Trading Pte Ltd (EGT), the Monetary Authority of Singapore (MAS) said that EAM and EGT are not licensed by MAS.
Opening Remarks By AKAZAWA Ryosei, Japan's State Minister For Financial Services At FIN/SUM 2021, Tokyo

Date 23/03/2021

Hello, everyone. I am Rio Akazawa, State Minister of Cabinet Office for Financial Services. It is our pleasure to hold the FIN/SUM 2021 FSA Symposium today. I would like to provide some opening remarks as the organizer.
ASIC To Adopt ‘No-Action’ Position For AGMs

Date 23/03/2021

ASIC will shortly adopt a temporary ‘no action’ position in relation to the convening and holding of virtual meetings.