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PLI White Collar Crime 2023 Keynote Speech Of CFTC Enforcement Director Ian McGinley: “Enforcement By Enforcement: The CFTC’s Actions In The Derivatives Markets For Digital Assets”

Date 11/09/2023

Thank you for that kind introduction.  As is customary, I’ll start with the standard disclaimer:  These comments are my own and do not necessarily reflect the views of the Commodity Futures Trading Commission (CFTC), its Commissioners, or CFTC staff.

Intercontinental Exchange Chief Financial Officer Warren Gardiner To Present At The J.P. Morgan 14th Annual U.S. All Stars Conference On September 19

Date 11/09/2023

Intercontinental Exchange, Inc. (NYSE:ICE), a leading global provider of data, technology, and market infrastructure, announced today that Warren Gardiner, ICE’s Chief Financial Officer, will present at the J.P. Morgan 14th Annual U.S. All Stars Conference. The presentation will take place on Tuesday, September 19 at 8:00 a.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/.

SEC Sweep Into Marketing Rule Violations Results In Charges Against Nine Investment Advisers

Date 11/09/2023

The Securities and Exchange Commission today announced charges against nine registered investment advisers for advertising hypothetical performance to the general public on their websites without adopting and/or implementing policies and procedures required by the Marketing Rule. All nine firms have agreed to settle the SEC’s charges and to pay $850,000 in combined penalties.

Modernizing Investor Protection For The Digital Age: Opening Remarks oO CFTC Commissioner Christy Goldsmith Romero, The North American Securities Administrators Association’s Annual Meeting iI San Diego, California

Date 11/09/2023

Thank you to NASAA.  I’m thrilled to be here with all of you, especially with those of you, who like me, have dedicated their careers to protecting investors.  With our nation at the cusp of some very exciting technological advances, advances that can also prove to be challenging, it will take federal and state regulators working together to build a safer financial system.

Nifty 50: Journey To 20,000

Date 11/09/2023

Nifty 50 Index is a broad-based index consisting of 50 blue chip large and liquid stocks traded on the National Stock Exchange of India. Since its inception in November 1995, the Nifty 50 Index has successfully become the ‘stock of the nation’, helping investors gauge the pulse of Indian capital market. It has lived up to its core purpose of providing a fair representation of the Indian equity market focusing on portfolio diversification, liquidity and replicability. Nifty 50 collectively represents approximately 52% of the total full market capitalization and around 63% of the free float market capitalization of listed stocks on the NSE, based on 6 month average as of June 30,2023.

TMX Group Equity Financing Statistics – August 2023

Date 11/09/2023

TMX Group today announced its financing activity on Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV) for August 2023.

BIS, COP28 And Central Bank Of United Arab Emirates Launch TechSprint To Develop Technological Solutions For Sustainable Finance And Combating Climate Change

Date 11/09/2023

• Global initiative aimed at promoting innovation in scaling sustainable finance and combating climate change.
• Problem statements focus on application of Artificial Intelligence, blockchain, Internet of Things and sensor technologies.
• Initiative is open to developers worldwide.

BOX Exchange: Annual SIFMA BCP/ Reg SCI Test – October 14, 2023

Date 11/09/2023

In coordination with other market centers and in support of Regulation SCI, BOX Exchange LLC (“BOX”) will be participating in the annual SIFMA BCP Test on Saturday, October 14, 2023.

Sentiment Remains Poor, With A Further US$59m Outflows Last Week - CoinShares Fund Flows

Date 11/09/2023

• Digital asset investment products saw outflows totalling US$59m last week, this run of outflows now totals US$294m.
• Bitcoin suffered the most, seeing outflows of US$69m last week, while short-bitcoin saw its largest single week of inflows since March 2023, totalling US$15m.
• Blockchain equities did not escape the negative sentiment, with US$10.8m outflows, marking the 5th consecutive week of outflows.

BIS: Governors And Heads Of Supervision Endorse Initiatives In Response To The Banking Turmoil And Reaffirm Priority To Implement Basel III

Date 11/09/2023

• The Basel Committee's oversight body takes stock of the lessons learnt from the banking turmoil.
• Endorses initiatives in response to the turmoil, including prioritising strengthening supervisory effectiveness, pursuing additional analytical work, and assessing the need to explore policy options over the medium-term.
• Welcomes progress made in implementing Basel III and reiterates its expectation to implement all aspects of the Basel Framework in full, consistently, and as soon as possible.