News Centre

SEC Names John Vanosdall As Deputy Chief Accountant

Date 03/12/2019

The Securities and Exchange Commission today announced the appointment of John Vanosdall as a Deputy Chief Accountant (Accounting Group) in the agency's Office of the Chief Accountant.

New York State Department Of Financial Services Grants Virtual Currency And Money Transmitter Licenses To SoFi Digital Assets, LLC

Date 03/12/2019

Financial Services Superintendent Linda A. Lacewell today announced that the New York State Department of Financial Services (DFS) has approved the application of SoFi Digital Assets, LLC, a wholly owned subsidiary of Social Finance, Inc., for virtual currency and money transmitter licenses.

CFTC Commitments Of Traders Reports Update

Date 03/12/2019

The Commitments of Traders Release Schedule for the year 2020 is now available.

Keynote Address — 2019 ICI Securities Law Developments Conference, Dalia Blass, Director, SEC Division Of Investment Management, Washington D.C., Dec. 3, 2019

Date 03/12/2019

Introduction

Good Morning. Thank you Susan [Olson], and thank you all for the opportunity to come back and update you on the Division’s work.

I recently came across a September Compliance Minute Podcast, titled: Where Have you Gone, Dalia Blass? In the podcast, Mr. Todd Cipperman wanted an update on initiatives that I had announced last March, including the exchange-traded funds (ETF) final rule and the proposed updates to the investment adviser advertising and solicitation rules. I enjoyed listening to the podcast because it reminded me of how much work we undertook and also how much we achieved.

Intercontinental Exchange Adds Fixed Income Capabilities To ICE ETF Hub

Date 03/12/2019

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today announced it has added new functionality to ICE ETF Hub to support US-listed fixed income exchange traded funds (ETFs). Since launching last week, fixed income primary trades for 17 funds, including the iShares Core U.S. Aggregate Bond ETF (AGG) and the iShares iBoxx $ Investment Grade Corporate Bond ETF (LQD), have passed through the system.

Cboe Expands MSCI Index Product Suite With New Options Strategy Benchmarks On MSCI EAFE And MSCI Emerging Markets Indices

Date 03/12/2019

• Cboe's benchmark indices are designed to help investors gauge the performance of options-based investment strategies to highlight the use of options to help manage risk, reduce volatility and enhance yield
• The new Cboe-MSCI BuyWrite and PutWrite indices are created for investors looking to replicate the same strategy on global equities

US Federal Regulators Issue Joint Statement On The Use Of Alternative Data In Credit Underwriting

Date 03/12/2019

Five Federal financial regulatory agencies today issued a joint statement on the use of alternative data in underwriting by banks, credit unions, and non-bank financial firms.

Zerion Raises $2M To Fuel Next Phase Of Decentralized Finance - Seed Funding From Placeholder, Blockchain.Com Ventures, And Gnosis Further Validates The DeFi Use Case

Date 03/12/2019

Zerion, the first simple interface to the protocols of decentralized finance (“DeFi”), has raised $2M in seed funding from Placeholder, Blockchain.com Ventures, and Gnosis. The team will use the investment to accelerate development and add support for more DeFi services. Zerion has processed over $47M in transaction volume over the last five months and won an award for the Best UX in the Ethereum ecosystem at Devcon in October 2019.

ESMA Updates Its BMR Q&As

Date 03/12/2019

The European Securities and Markets Authority (ESMA) has issued today an update of its Question and Answers (Q&As) on the European Benchmarks Regulation (BMR).

With Participation Of FTSE Russel And QFC Qatar Stock Exchange Holds Seminar On Promoting Sustainability & ESG Disclosure Among Qatari Listed Companies

Date 03/12/2019

Qatar Stock Exchange, in cooperation with FTSE Russel and Qatar Financial Centre, held a senior level sustainability and ESG engagement session, titled QSE & FTSE Russell Smart Sustainability Forum, with the aim to promote the business case for ESG and sustainability, outline QSE’s sustainability action plan to attract responsible investors, provide an overview of global investor assessment approaches to ESG, and serve as the soft launch for the QSE Sustainability and ESG Dashboard.