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  • CFTC Approves Final Rule Regarding Safeguarding And Investment Of Customer Funds

    Date 17/12/2024

    The Commodity Futures Trading Commission today announced it approved a final rule amending the CFTC’s regulations that govern how futures commission merchants and derivatives clearing organizations safeguard and invest customer funds held for the benefit of customers engaging in futures, foreign futures, and cleared swaps transactions. 

  • CFTC Grants QC Clearing LLC DCO Registration

    Date 17/12/2024

    The Commodity Futures Trading Commission today announced it has issued QC Clearing LLC an Order of Registration as a derivatives clearing organization under the Commodity Exchange Act. 

  • Cancelled — December 18 Commodity Futures Trading Commission (CFTC) Open Meeting

    Date 17/12/2024

    The Commodity Futures Trading Commission Open Meeting scheduled for Wednesday, Dec. 18 has been cancelled. The matters under consideration will be completed through the Commission’s seriatim process.

  • New Zealand Financial Markets Authority Censures Pathfinder For Misleading Representations

    Date 17/12/2024

    The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has censured Pathfinder Asset Management (Pathfinder) under the Financial Markets Conduct Act 2013 (FMCA). 

  • NZX - Director Independence Review: Notice Of Rule And Code Amendments

    Date 17/12/2024

    In 2023, NZX commenced the review of its regulatory requirements for issuers of equity securities in relation to director independence, with the support of the NZX Corporate Governance Institute.  This review was recently completed following a detailed two-stage consultation process, the commissioning of academic research and international benchmarking of practices of comparable exchanges. The review was completed in October this year, and an application was made to the FMA for certain amendments to NZX’s regulatory settings.