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Statement At Inaugural Meeting Of The Asset Management Advisory Committee, SEC Commissioner Allison Herren Lee, Washington D.C., Jan. 14, 2020

Date 24/01/2020

Thank, you. I’ll be brief so you can all get started with your important work. I second the remarks of my colleagues regarding how important the asset management industry is to American investors. Clients of all types—from retirees and retail investors to large institutions and pension plans—rely heavily on the people in this room and your colleagues to manage their finances, help them save and invest for the future, and exercise independent judgment in voting their shares. I want to thank Director Dalia Blass for helping to establish this Committee, and everyone in this room for your willingness to contribute your time and expertise.

CFTC Commitments Of Traders Reports Update

Date 24/01/2020

The current reports for the week of January 21th, 2020 are now available.

SEC Charges Husband And Wife With Nearly $1 Billion Ponzi Scheme

Date 24/01/2020

The Securities and Exchange Commission today charged a California-based couple with orchestrating a nearly billion-dollar Ponzi scheme involving alternative energy tax credits.

BDO Canada Pays $3.5 M For Failing To Comply With Auditing Standards

Date 24/01/2020

A Panel of the Ontario Securities Commission (OSC) has approved a settlement agreement in which BDO Canada LLP (BDO) admitted that it failed to comply with generally accepted auditing standards in the audits of the 2014 and 2015 financial statements of two privately-offered investment funds.

SEC Publishes Annual Reports On Credit Rating Agencies

Date 24/01/2020

Two annual SEC staff reports released today highlight the important work of the Office of Credit Ratings in examining and monitoring nationally recognized statistical rating organizations (NRSROs). The reports indicate that the NRSROs made certain improvements in response to the staff's examinations and that both the range of NRSROs issuing commentaries as well as the topics covered by those commentaries has expanded

Nigerian Stock Exchange Weekly Market Report For January 24th 2020

Date 24/01/2020

A total turnover of 1.237 billion shares worth N22.762 billion in 21,156 deals were traded this week by investors on the floor of the Exchange, in contrast to a total of 2.087 billion shares valued at N26.470 billion that exchanged hands last week in 24,262 deals.

Statement At The Inaugural Meeting Of The Asset Management Advisory Committee, SEC Commissioner Elad L. Roisman, Washington D.C., Jan. 14, 2020

Date 24/01/2020

I am happy to join you for this inaugural meeting of our new Asset Management Advisory Committee, otherwise known by its government-issue acronym: “AMAC.”   Our expert Commission staff has worked hard to establish this committee, making sure to include members that are distinguished in their careers and diverse in their experience.  I am grateful to Director Dalia Blass and her team in the Division of Investment Management for all their work in getting us here today.

Moscow Exchange: Risk Parameters Change For The Security RU000A0JWTN2

Date 24/01/2020

Transcend Hires Former CTO Of ENSO Financial - Kayur Parekh To Lead Expansion Of Transcend's Technology For The Buy-Side

Date 24/01/2020

Transcend, a leading provider of real-time collateral and liquidity optimization technology, has hired Kayur Parekh to join Transcend’s technology leadership team. He will focus on accelerating Transcend solutions and capabilities on the cloud and refining the solutions for the buy-side. Parekh brings more than 18 years of technology and financial markets experience. 

European Commission: Questions And Answers On The United Kingdom's Withdrawal From The European Union On 31 January 2020

Date 24/01/2020

The United Kingdom is set to leave the European Union on 31 January 2020 at midnight (Brussels time). It will no longer be a Member State of the European Union. This is a decision that the EU regrets but respects.