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International Forum Of Independent Audit Regulators Published Information Paper: Facilitating Oversight Of Global Audit Firm Networks

Date 09/10/2020

On September 11, the International Forum of Independent Audit Regulators (IFIAR) released "Information Paper: Facilitating Oversight of Global Audit Firm Networks".
Tokyo Financial Exchange: Rollover Of Leading Contract Month For Three-Month Euroyen Futures

Date 09/10/2020

Tokyo Financial Exchange has decided to shift the leading contract month for Euroyen futures from the current December 2020 contracts to the March 2021 contracts, effective from 7 October 2020.
Montréal Exchange Interest Rate Derivative Trading Ceases At 1:30 P.M. Today - Exchange's Markets Closed October 12, 2020

Date 09/10/2020

Interest rate derivative trading will cease at 1:30 p.m. today, October 9, 2020. Furthermore, the Exchange's markets will be closed on October 12, 2020.
CFTC To Hold An Open Commission Meeting On October 15

Date 08/10/2020

Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the CFTC will hold an open meeting on Thursday, October 15, 2020 at 9:30 a.m. (EDT). The meeting will be held virtually in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic.
SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud

Date 08/10/2020

The Securities and Exchange Commission today charged Houston-based seismic data company, SAExploration Holdings Inc. (SAE), and four former executives for a multi-year accounting fraud that falsely inflated the company’s revenue by approximately $100 million and concealed the theft of millions of dollars by the executives. SAE issued restated financial statements in February and declared bankruptcy in August.

LabCFTC Opens Registration For October 21 “Empower Innovation 2020” Event - Agenda Features In-Depth Discussions With Regulators On The Role Of Technology And Innovation In The Financial Markets

Date 08/10/2020

The Commodity Futures Trading Commission today opened registration and released the agenda for LabCFTC’s Empower Innovation 2020 session, “Regulation and Innovation Re-imagined.” The October 21st session is the second of three interactive virtual events hosted by LabCFTC to facilitate a dialogue on cutting-edge fintech innovation among innovators, regulators, market participants, and the public. [See CFTC Press Release No. 8198-20] Participants will engage with leaders from some of the nation’s key regulators to discuss their views on the role technology plays in fostering innovation and best practices for collaboration among policymakers and innovators.
Office Of The Comptroller Of The Currency Assesses $60 Million Civil Money Penalty Against Morgan Stanley

Date 08/10/2020

The Office of the Comptroller of the Currency (OCC) today assessed a $60 million civil money penalty against Morgan Stanley Bank, N.A., and Morgan Stanley Private Bank, N.A. ("the banks")
Fiserv To Release Third Quarter Earnings Results On October 27, 2020

Date 08/10/2020

Fiserv, Inc. (NASDAQ: FISV), a leading global provider of payments and financial services technology solutions, will announce its third quarter financial results after the close of regular market trading on Tuesday, October 27, 2020.
Joint Statement Regarding New FAQs For Form CRS [1], SEC Chairman Jay Clayton, Dalia Blass, Director, Division of Investment Management, Brett Redfearn, Director, Division of Trading and Markets, Oct. 8, 2020

Date 08/10/2020

Form CRS is a brief relationship summary designed to help retail investors make informed choices regarding what type of relationship — brokerage, investment advisory or a combination of both — best suits his or her particular needs and circumstances. Both broker-dealers and investment advisers (each, a “firm”) must provide to retail investors a relationship summary containing plain English disclosures on the same topics under standardized headings and in a prescribed order. The relationship summary promotes transparency, comparability and better-informed decision making, through clear, concise disclosures, and by summarizing in one place selected information about a particular firm. This format allows retail investors to more easily compare different firms’ services, fees, and other important information.
Nasdaq September 2020 Volumes, 3Q20 Estimated Revenue Capture, Listings And Index Statistics

Date 08/10/2020

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for September 2020, as well as quarterly volumes, estimated revenue capture, number of listings and index statistics for the quarter ending September 30, 2020 on its investor relations website.