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Date 01/07/2024
Federal Reserve Board Fines Silvergate Capital Corporation And Silvergate Bank $43 Million For Deficiencies In Silvergate’s Monitoring Of Transactions In Compliance With Anti-Money Laundering Law
The Federal Reserve Board on Monday fined Silvergate Capital Corporation and Silvergate Bank $43 million for deficiencies in Silvergate's monitoring of transactions in compliance with anti-money laundering laws.
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Date 01/07/2024
Statement On The Registration For Index-Linked Annuities And Registered Market-Value Adjustment Annuities, SEC Commissioner Mark T. Uyeda
While the universe of securities is broad, the Securities Act of 1933 (“Securities Act”) generally requires that any offer or sale of a security to the public be registered with the Commission. For that reason, the Commission should take steps to ensure that registration statement disclosure is material and informative to prospective purchasers. By the same token, the Commission should avoid requiring disclosures that are irrelevant and distract readers from the important information.
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Date 01/07/2024
RILA Re-Form: Statement On Registration For Index-Linked Annuities And Registered Market-Value Adjustment Annuities - Amendments To Form N-4 For Index-Linked Annuities, Registered Market-Value Adjustment Annuities, And Variable Annuities, SEC Commissioner Hester M. Peirce, July 1, 2024
In the last few years, the Commission’s staff has often had to complete rulemakings on tight deadlines. Even with aggressive time constraints, the staff succeeded admirably in meeting the congressional mandate to provide a tailored form to register the offerings of registered index-linked annuities (“RILAs”). I support the Commission’s general approach to implementing the congressional mandate but would have preferred a more merits-neutral approach and a greater focus on facilitating the use of creative disclosure techniques to foster deeper investor understanding.
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Date 01/07/2024
CFTC Announces Supervisory Stress Test Results
The Commodity Futures Trading Commission today issued Supervisory Stress Test of Derivatives Clearing Organizations: Reverse Stress Test Analysis and Results, a report detailing the results of its fourth Supervisory Stress Test (SST) of derivatives clearing organization (DCO) resources. Among other findings, the 2024 report concluded the DCOs studied hold sufficient financial resources to withstand many extreme and often implausible price shocks.
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Date 01/07/2024
MIAX Exchange Group - Notice To Exchange Members ISG CMRWG 2024-01
The MIAX Exchange Group is issuing this regulatory alert to remind MIAX Exchange Group Members of the existence and role of the Cross Market Regulation Working Group (“CMRWG”), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (“ISG”) to focus on ways to reduce unnecessary regulatory duplication.
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Date 01/07/2024
SEC Charges Silvergate Capital, Former CEO For Misleading Investors About Compliance Program, Former Chief Risk Officer And Former CFO Also Charged For Misleading Investors
The Securities and Exchange Commission today charged Silvergate Capital Corporation, its former CEO Alan Lane, and former Chief Risk Officer (CRO) Kathleen Fraher with misleading investors about the strength of the Bank Secrecy Act/Anti-Money Laundering (BSA/AML) compliance program and the monitoring of crypto customers, including FTX, by Silvergate’s wholly owned subsidiary, Silvergate Bank. The SEC also charged Silvergate and its former Chief Financial Officer, Antonio Martino, with misleading investors about the company’s losses from expected securities sales following FTX’s collapse. All parties charged, aside from Martino, have agreed to settle the SEC’s charges.
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Date 01/07/2024
Statement On RILAs And Registered MVA Annuities, SEC Chair Gary Gensler
Today, the Commission adopted amendments to provide a tailored form to register the offerings of registered index-linked annuities (“RILAs”) and registered market value adjustment annuities (“registered MVA annuities”). I am pleased to support this adoption because it fulfills the congressional mandate to adopt a registration form specific to RILAs.
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Date 01/07/2024
US Office Of The Comptroller Of The Currency Releases CRA Evaluations For 21 National Banks And Federal Savings Associations
The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of June 1, 2024, through June 30, 2024. The list contains only national banks, federal savings associations, and insured federal branches of foreign banks that have received ratings. The possible ratings are outstanding, satisfactory, needs to improve, and substantial noncompliance.
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Date 01/07/2024
ISDA Proceeds With Development Of An Industry Notices Hub
ISDA will proceed with the development of an industry-wide notices hub, following strong support from buy- and sell-side institutions globally. The new online platform will allow instantaneous delivery and receipt of critical termination-related notices and help to ensure address details for physical delivery are up to date, reducing the risk of uncertainty and potential losses for senders and recipients of these notices.
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Date 01/07/2024
NSE Indices Fixed Income Index Dashboard For The Month Ended June 2024
Click here to download the ' Fixed Income Index Dashboard' for the month ended June 2024.