News Centre

CFTC Commissioner Goldsmith Romero To Participate On Panel At The Economist’s Sustainability Week: Countdown To COP28

Date 21/09/2023

New Study Reveals Expanded Role Of CFOs In Driving Climate Transition - 30 Chief Financial Officers Representing Nearly $1 Trillion Market Cap Outline The Opportunities Of Climate Action

Date 21/09/2023

A new report from the UN Global Compact and Climate Bonds Initiative, The role of the Chief Financial Officer in driving low-carbon transition underlines the key role Chief Financial Officers (CFOs) play in managing the risks and opportunities inherent in taking action or lagging behind in the low-carbon transition. It notes that late, unambitious action, which opens a company to physical, regulatory, and financial climate risks could be perceived negatively by investors, damaging the value of the company, and bringing long-term reputational impacts. On the flip side, proactive action can bring a sustainable long-term competitive advantage to businesses.

Remarks By US Assistant Secretary For Financial Markets Josh Frost At The International Swaps And Derivatives Association Derivatives Trading Forum

Date 21/09/2023

Good afternoon and thanks for having me here today. The topic of today’s forum – the resilience of Treasury markets – is a topic that we at the Treasury Department care deeply about and accordingly spend a great deal of time focused on. And the title of today’s forum – “The Path to Resilient Treasury Markets” – seems exactly right to me. The use of the word “path” reminds me of the efforts undertaken over most of the past decade. Resilient Treasury markets are not a static endpoint; they are a journey towards a shared goal and responsibility of the Treasury, the broader official sector, and market participants.

Eventus Wins Market Surveillance Solution Of The Year At FOW Asia Capital Markets Awards - Validus Platform Takes Honor For Second Time, Marking Eighth Award In APAC Region

Date 21/09/2023

Eventus, a leading global provider of state-of-the-art, at-scale trade surveillance software across all lines of defense, today captured the honor of Market Surveillance Solution of the Year for its Validus platform at the 2023 FOW Asia Capital Markets Awards. The firm, which also won the market surveillance category the last time it was bestowed in 2021, has now earned eight awards specifically for its offering in the Asia-Pacific (APAC) region in the past three years.

SEC Charges Mexico-Based Company, Its CEO, And Four Individuals In Ponzi Scheme Targeting Spanish-Speaking U.S. Investors

Date 21/09/2023

The Securities and Exchange Commission today announced charges against Mexico-based company Aras Investment Business Group S.A.P.I. de C.V., its CEO Armando Gutierrez Rosas, and four individuals for fraudulently raising at least $15 million from more than 450 retail investors in the U.S., most of whom were members of the Mexican American community.

On-Chain Bonds Platform Obligate Appoints Former Global Head Of Exchanges For Swiss Stock Exchange (SIX) Thomas Zeeb To Board Of Directors - In This Appointment, Thomas Zeeb Will Provide Guidance As Obligate Continues To Offer Large Grade Corporate Bond Issuances And Develops Its Institutional-Grade Platform

Date 21/09/2023

Obligate, an investment platform enabling companies to issue on-chain bonds and commercial paper to receive funding, has appointed Thomas Zeeb to the company’s Board of Directors. Zeeb will bring with him over 30 years of experience in the traditional finance sector, namely in capital markets, securities and exchanges, post trade infrastructure services, risk management and regulatory compliance.

Trading Technologies' TT® Platform Named Derivatives Trading System Of The Year At 2023 FOW Asia Capital Markets Awards

Date 21/09/2023

Trading Technologies International, Inc. (TT), a global capital markets technology platform provider, has just won the FOW Asia Capital Markets Award for Derivatives Trading System of the Year for its TT platform. Global Investor Group presented the award at a dinner ceremony in Singapore.

Remarks At Meeting Of The SEC Investor Advisory Committee, SEC Commissioner Hester M. Peirce, Washington D.C., Sept. 21, 2023

Date 21/09/2023

Thank you, Christopher [Mirabile]. And good morning to all of you. Thank you, Committee members and panelists, for your participation in this first in-person Investor Advisory Committee meeting since 2019.

Canadian Securities Regulators Propose Introduction Of Expedited Shelf Prospectus Regime For Well-Known Seasoned Issuers

Date 21/09/2023

The Canadian Securities Administrators (CSA) is seeking public comment on a proposed expedited shelf prospectus regime for well-known seasoned issuers (WKSIs) in Canada.

Prepared Remarks Before The Investor Advisory Committee, SEC Chair Gary Gensler, Washington D.C., Sept. 21, 2023

Date 21/09/2023

Good morning, thank you, Christopher. I am pleased to join the Investor Advisory Committee. As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the SEC staff.