News Centre

Ontario Securities Commission Working To Ensure Crypto Asset Trading Platforms Comply With Securities Law

Date 29/03/2021

The Ontario Securities Commission (OSC) is notifying crypto asset trading platforms that currently offer trading in derivatives or securities to persons or companies located in Ontario, that they must bring their operations into compliance with Ontario securities law or face potential regulatory action. 

IIROC Announces New Members Of Crypto-Asset Working Group - Pan-Canadian Self-Regulator Continues To Deepen Its Understanding Of Crypto-Assets

Date 29/03/2021

The Investment Industry Regulatory Organization of Canada (IIROC) announced today the new members of its Crypto-Asset Working Group.

Canadian Securities Regulators Outline Regulatory Framework For Compliance For Crypto Asset Trading Platforms

Date 29/03/2021

The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) today published a notice outlining securities law requirements that apply to crypto asset trading platforms (CTPs) and how they may be tailored by regulators for the CTPs business model.

Cboe Receives Regulatory Approval To Launch Periodic Auctions For U.S. Equities Trading

Date 29/03/2021

• New auction mechanism designed to enhance intraday liquidity and price discovery in the public markets
• Builds on success of Cboe Europe Periodic Auctions, the largest periodic auction platform in Europe
• Further expands Cboe’s block trading capabilities
• Planned for launch in the third quarter of 2021

US Federal Agencies Seek Wide Range Of Views On Financial Institutions' Use Of Artificial Intelligence

Date 29/03/2021

Five federal financial regulatory agencies are gathering insight on financial institutions' use of artificial intelligence (AI). The agencies seek information from the public on how financial institutions use AI in their activities, including fraud prevention, personalization of customer services, credit underwriting, and other operations.

Tassat Appoints Former Citi SVP Jay Agarwal As Managing Director, Payments - Client Milestones And Growing Market Opportunity Drive Tassat’s Aggressive Expansion Of Its Digital Payments Capabilities

Date 29/03/2021

Tassat, a global provider of financial technologies and products for digital payments, today announced it has named Jay Agarwal as Managing Director, Payments.

SEC Awards Over $500,000 To Whistleblower Under "Safe Harbor" For Internal Reporting And Surpasses Record For Individual Awards

Date 29/03/2021

The Securities and Exchange Commission awarded more than $500,000 to a whistleblower who raised concerns internally before submitting a tip to the Commission. The whistleblower's information and assistance allowed the Commission and another agency to quickly file actions, shutting down an ongoing fraudulent scheme.

Joint Statement On The U.S.-EU Joint Financial Regulatory Forum

Date 29/03/2021

U.S. and EU participants in the U.S.-EU Joint Financial Regulatory Forum (“the Forum”) met virtually on March 24 and 25, 2021, to exchange views on topics of mutual interest as part of their ongoing financial regulatory dialogue.

London Stock Exchange Group: Sabrina Bailey Appointed To Run Wealth Solutions Business

Date 29/03/2021

LSEG (London Stock Exchange Group plc) today announces the appointment of Sabrina Bailey in the US to lead its Wealth Solutions business, part of the Data & Analytics Division.

Treasury–Federal Reserve Cooperation And The Importance Of Central Bank Independence, Federal Reserve Governor Christopher J. Waller, At The Peterson Institute For International Economics, Washington, D.C. (Via Webcast)

Date 29/03/2021

By way of introduction, I spent the first part of my career as an economics professor and researcher. One of my main fields of inquiry was monetary policy theory. I have long been a strong believer in the virtues of central bank independence, and today I will devote my remarks to that topic.