News Centre

ASIC Oversees More Than $17.4 Million In Compensation To Retail Investors By OTC Derivative Issuers

Date 09/11/2023

ASIC has overseen more than $17.4 million in combined compensation payments to over 2,000 retail clients affected by breaches of financial services laws by eight retail OTC derivative issuers.  

New Zealand Financial Markets Authority Makes Interim Stop Order Against David McEwen And Entities Associated With Him

Date 09/11/2023

The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has made an interim stop order against David Elgar McEwen and entities associated with him from making offers of financial products and from accepting any further or new deposits or investments in respect of those financial products.  The interim stop order also prevents Mr McEwen, entities associated with him, and any persons employed by him, from making any communications about the offer of those financial products. 

U.S. Department Of Justice: Wall Street Director And Head Trader Charged For U.S. Treasuries Market Fraud Scheme

Date 08/11/2023

A federal grand jury in Newark, New Jersey, returned an indictment that was unsealed today charging a Wall Street bond trader for a scheme to manipulate the U.S. Treasuries market.

Research And Statistics Centennial Anniversary: Past, Present And Future, Federal Reserve Vice Chair Philip N. Jefferson, At "A Look At The Past, Present, And Future," A Conference Celebrating The Centennial Of The Division Of Research And Statistics, Board Of Governors Of The Federal Reserve System, Washington, D.C.

Date 08/11/2023

Thank you, Stacey, and thank you to the organizers for a thought-provoking conference.1 Provoking thought and discussion are very fitting ways to mark the centenary of the Division of Research and Statistics (R&S).

Intercontinental Exchange, Inc. Commences Private Exchange Offer And Consent Solicitation For Black Knight InfoServ LLC’s Outstanding 3.625% Senior Notes Due 2028

Date 08/11/2023

Intercontinental Exchange, Inc. (NYSE: ICE) (“ICE”) announced today that it is commencing a private exchange offer (the “Exchange Offer”) and related consent solicitation (the “Consent Solicitation”) with respect to the outstanding 3.625% Senior Notes due 2028 (the “BK Notes”) issued by Black Knight InfoServ, LLC (“BK”), a wholly owned subsidiary of ICE.

CFTC Financial Data For Futures Commission Merchants Update

Date 08/11/2023

The latest reports for September 2023 are now available.

CFTC Commissioner Johnson To Deliver A Keynote Address And Participate In A Fireside Chat At The Financial Times Crypto And Digital Assets Summit: Winter Edition

Date 08/11/2023

We Leverage Technology, Rules To Ensure Market Fairness, Transparency – NGX RegCo

Date 08/11/2023

NGX Regulation Limited (NGX RegCo) has assured retail investors of its commitment to ensuring fairness and transparency in the capital market, as it aims to further improve investor confidence and drive financial inclusion in the retail investor ecosystem.  

Joint Trade Associations Urge Department Of Labor To Extend Timeline On Proposed Retirement Security Rule

Date 08/11/2023

SIFMA today joined with 17 trade associations in sending a letter to the Department of Labor (DOL) requesting an extension of the 60-day comment period for the DOL’s proposed Retirement Security Rule and considerable amendments to a number of Prohibited Transaction Exemptions (Proposed Rule).

The EBA Consults On Draft Technical Standards On Supervisory Colleges Under MiCAR

Date 08/11/2023

The European Banking Authority (EBA) today launched a consultation on draft Regulatory Technical Standards (RTS) specifying the criteria for determining the composition of supervisory colleges for each issuer of a significant asset referenced token (ART) or of a significant e-money token (EMT). The draft RTS also specify the general conditions for the functioning of supervisory colleges under MiCAR. This consultation together with other consultations papers published today form part of the third batch of MiCAR policy products.  All consultations run until  8 February 2024.