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  • Correction To ASX Group Monthly Activity Report - January 2025

    Date 07/02/2025

    Trading – Cash Markets (including equities, interest rate and ETP trades)

    • In January 2025, the average daily number of trades was up 15% on the pcp. The average daily value traded onmarket of $4.571 billion was up 3% on the pcp. 
    • Volatility (as measured by the average daily movement in the All Ordinaries Index) was 0.5% in January, compared to 0.5% in the pcp. 
    • Future volatility (as measured by the S&P/ASX 200 VIX) in January was an average of 10.9, down 2% on pcp.

  • Japan Financial Services Agency: Working Group On Improving Internal Audits Of Financial Institutions

    Date 07/02/2025

    Summary

    The FSA has decided to establish a “Working Group on Improving Internal Audits of Financial Institutions” to discuss issues involved in internal audits with related organizations and external experts.
    In September 2024, the FSA published “Monitoring Report for Improving Internal Audits of Financial Institutions (2024)” which summarizes the monitoring results of not only large banking groups but also regional financial institutions, large securities companies, and large insurance companies, with the FSA’s recognition of issues and expectations.

  • ASIC Successfully Appeals Federal Court Decision On Voluntary Disclosure Regime

    Date 07/02/2025

    The Full Federal Court has upheld ASIC’s appeal in its case against Noumi’s former managing director and CEO Rory Macleod, finding that providing documents to ASIC pursuant to a Voluntary Disclosure Agreement does not necessarily waive any valid legal professional privilege (LPP) claim.

  • Japan Financial Services Agency: "Cold Calling" - Investors Alert

    Date 07/02/2025

    1. Today, so-called "Cold Calling," a fraudulent practice aimed at soliciting investors, is conducted all over the world. "Cold-calling" is a practice where by an entity disguises itself as a brokerage firm or an asset management firm and approaches potential investors via non face-to-face channels, such as by phone, fax, and emails, in order to solicit investment in securities or financial products. Typically, a "cold caller" makes unsolicited calls to potential investors, cajoles them into deciding to purchase certain securities, and then, becomes unavailable for contact after the investor sends the money for that purchase. As a result, the investors cannot obtain the securities although they made the payment, and they also cannot get back the money they paid. Investors need to be more careful and vigilant, as cold callers have been using more varied and more sophisticated tactics. (For example, some cold callers execute transactions properly and make profits for investors at first. Then, they solicit bigger transaction and make the investors transfer the money for it. After that, the cold callers disappear.)

  • CFTC Statement On False Allegations Targeting Acting Chairman

    Date 06/02/2025

    The following is attributable to a Commodity Futures Trading Commission spokesperson:

    Allegations by unnamed sources in a Bloomberg article attempting to smear Acting Chairman Caroline D. Pham are baseless, were not fact-checked with the CFTC, and an unfortunate attempt by disgruntled individuals that are under investigation to distract from the CFTC’s important mission. Pham’s tenure has been marked by pushes for improved transparency, adherence to the law, and management accountability. 

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