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Securities Commission Malaysia: Adoption Of Corporate Governance Best Practices Remains Positive

Date 08/10/2020

More listed companies adopted best practices as outlined in the Malaysian Code on Corporate Governance (MCCG) in 2019, compared to the year before. When releasing its annual Corporate Governance Monitor (CG Monitor 2020) today, the Securities Commission Malaysia (SC) noted that the areas which show an increase in adoption are the Step Up practices, the two-tier voting process and board practices to determine remuneration of directors and senior management.
Japan Financial Services Agency: Publication Of "Progress Report On Enhancing The Asset Management Business 2020"

Date 08/10/2020

"Progress Report on Enhancing the Asset Management Business 2020" was published by the Financial Services Agency in Japan (FSA), on 19th June this year. This report highlights FSA's trend analysis of the asset management business for both domestic and international perspectives. This report also outlines the key challenges identified through interviews with overseas asset managers and the dialogues with domestic asset managers as well as the cource of potential actions going forward.
FINRA To Hold Artificial Intelligence (AI) Virtual Conference And FinTech Office Hours

Date 07/10/2020

FINRA today announced the opening of registration for the 2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours Nov. 9-10.
Federal Reserve Announces Enforcement Action Against Citigroup Inc. That Requires The Firm To Correct Several Longstanding Deficiencies

Date 07/10/2020

The Federal Reserve Board on Wednesday announced an enforcement action against Citigroup Inc. of New York, New York, that requires the firm to correct several longstanding deficiencies.
Office Of The Comptroller Of The Currency Assesses $400 Million Civil Money Penalty Against Citibank

Date 07/10/2020

The Office of the Comptroller of the Currency (OCC) today assessed a $400 million civil money penalty against Citibank, N.A, of Sioux Falls, South Dakota, related to deficiencies in enterprise-wide risk management, compliance risk management, data governance, and internal controls.

SEC Names Nichola L. Timmons Chief Of New Office Of Bankruptcy, Collections, Distributions, And Receiverships

Date 07/10/2020

The Securities and Exchange Commission today announced that Nichola L. Timmons has been named Chief of the newly-formed Office of Bankruptcy, Collections, Distributions, and Receiverships in the Division of Enforcement.
CFTC Swaps Report Update

Date 07/10/2020

CFTC's Weekly Swaps Report has been updated, and is now available.
CalPERS Names James Sterling Gunn To Lead Trust Level Portfolio Management Program

Date 07/10/2020

CalPERS announced today that James Sterling Gunn will join the pension fund as its new managing investment director of the Trust Level Portfolio Management Program.
SEC To Hold National Compliance Outreach Seminar For Investment Companies And Investment Advisers Virtually

Date 07/10/2020

The Securities and Exchange Commission today announced that it has rescheduled its compliance outreach program's national seminar for investment companies and investment advisers to Nov. 19, 2020. This program is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms enhance their compliance programs for the protection of investors. The November program will be offered as a live webcast—both speakers and attendees will be participating in the program remotely. All live webcast attendees may view the program real-time, access presentation materials, and submit questions to the speakers during the presentation. Questions for the panels may also be submitted prior to the event to ComplianceOutreach@sec.gov.
CFTC Charges Wisconsin Firm And Its Manager With Registration, Disclosure, And Recordkeeping Violations

Date 07/10/2020

The Commodity Futures Trading Commission announced the filing of a civil enforcement action in the U.S. District Court for the Eastern District of Wisconsin against Southwest Services, L.L.C. a/k/a South West Services, LLC and its sole managing member, Timothy A. Sack of Oshkosh, Wisconsin.