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News Centre
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TD Securities Appoints Carl Hayes As Head Of European Cash Equities
Date 29/08/2024
TD Securities (TDS), a global corporate and investment bank offering integrated capital markets products and services, is pleased to announce the promotion of Carl Hayes, Managing Director, as the new Head of European Cash Equities. Based in London, Carl's appointment supports TDS’ continued focus on extending its reach in European equity markets. Carl reports to Sharon Kim, Executive Managing Director and Region Head of Europe, TD Securities and Senior Vice President, TD Bank Group.
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ASIC: CLSA Pays Penalty For Providing Incorrect Regulatory Data
Date 29/08/2024
CLSA Australia Pty Limited has paid a penalty of $144,300 to comply with an infringement notice given by the Markets Disciplinary Panel (MDP) for failing to provide correct regulatory data to the relevant Market Operator.
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Federal Reserve Board Announces Final Individual Capital Requirements For All Large Banks, Effective On October 1
Date 28/08/2024
Following its stress test earlier this year, the Federal Reserve Board on Wednesday announced final individual capital requirements for all large banks, effective on October 1.
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Coinbase To Participate In Citi’s 2024 Global TMT Conference
Date 28/08/2024
Coinbase Global, Inc. announced today that Alesia Haas, Chief Financial Officer, will participate in a fireside chat at Citi’s 2024 Global TMT Conference on Wednesday, September 4, 2024 at 1:20 pm ET / 10:20 am PT.
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Too Short To Report: Statement On Adoption Of Form N-PORT And Form N-CEN Reporting - Guidance On Open-End Fund Liquidity Risk Management Programs, SEC Commissioner Hester M. Peirce, Aug. 28, 2024
Date 28/08/2024
Thank you, Chair Gensler, and good morning. When the market’s green arrows flip upside down and turn an alarming red, the demand for explanations and information is immediate. Common questions for the SEC are which funds will be affected and how significantly? We saw such calls for data and real-time analysis at the onset of the financial crisis, the COVID-19 pandemic and government response, and Russia’s invasion of Ukraine. As one who seeks answers in times of market stress, I am sympathetic to one of the stated goals of today’s rulemaking: ensuring the Commission can conduct informed analysis on funds’ portfolios as contemporaneous to the events as possible. But the Commission oversells the benefits of today’s amendments and gives too little attention to the costs, perhaps because the Commission failed genuinely to seek needed public input on these changes. Accordingly, I cannot support this rulemaking.
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Intercontinental Exchange Chair & CEO Jeffrey C. Sprecher To Present At The Goldman Sachs Communacopia & Technology Conference On September 9
Date 28/08/2024
Intercontinental Exchange, Inc. (NYSE:ICE), a leading global provider of technology and data, announced today that Jeffrey C. Sprecher, Chair and CEO, will present at the Goldman Sachs Communacopia & Technology Conference. The presentation will take place on Monday, September 9 at 5:25 p.m. ET. The presentation will be available live and in replay via webcast and can be accessed in the investor relations and media section of ICE’s website at http://ir.theice.com/
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Statement On Amendments To Forms N-PORT And N-CEN Reporting And Guidance On Open-End Fund Liquidity Risk Management Programs, SEC Commissioner Caroline A. Crenshaw, Aug. 28, 2024
Date 28/08/2024
Today the Commission addresses several important matters.
Most prominently, we update Form N-Port. N-PORT collects core information from registered investment companies about funds and their portfolio holdings – including information about counterparty and sector exposure, liquidity, volatility risk, leverage, and net asset value.[3] It provides the Commission with critical data, especially in times of market stress. The problem with the Form as it exists right now is the infrequency of reporting.
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Retail Investors Deserve More Timely Access To Fund Portfolio Data, SEC Commissioner Jaime Lizárraga, Aug. 28, 2024
Date 28/08/2024
Under current rules, registered investment companies, a $28 trillion industry of largely mutual funds and exchange-traded funds, provide the Commission and investors with periodic portfolio holdings data. The Commission relies on this data to assess trends and risks, and to support its rulemaking, examination, and enforcement efforts.
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TS Imagine Unveils Platform 3.0, Marking A New Era For Capital Markets Technology
Date 28/08/2024
TS Imagine, the leading global, cross-asset provider of trading, portfolio, and risk management solutions for financial institutions, is pleased to announce the global availability of Platform 3.0, encompassing the culmination of three years of strategic research, development and investment. This thorough modernization of TS Imagine products and services propels TS Imagine users to the cutting edge of innovation within global capital markets.Highlights of TS Imagine Platform 3.0 -
Statement On Form N-PORT And Form N-CEN Reporting Amendments - Guidance On Open-End Fund Liquidity Risk Management Programs, SEC Commissioner Mark T. Uyeda, Aug. 28, 2024
Date 28/08/2024
Thank you, Chair Gensler. The recommendation before the Commission is to adopt certain changes to Form N-PORT and Form N-CEN and to provide guidance to funds on certain aspects of their liquidity risk management programs.
