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SEC Small Business Advisory Committee To Discuss The Accredited Investor Definition And The State Of The IPO Market

Date 16/02/2024

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 27, which will include a discussion of the accredited investor definition and initial public offerings (IPOs). Members of the public can watch the live meeting via webcast on www.sec.gov.
Up-And-Running Of Consolidated Tape Versus Market Structure Improvement: By Kelvin To, Founder And President Of Data Boiler Technologies

Date 16/02/2024

The FCA concluded its comment period for Policy Statement for the framework for UK consolidated tape (CT) on the 9th of February 2024. We think there will need to be “give and take” in the short term to get the CT up-and-running the soonest and will need to remain flexible for right-course policy actions in the long term for market structure improvements.
US Federal Agencies Issue 2023 Shared National Credit Program Report

Date 16/02/2024

Federal bank regulatory agencies today reported in the 2023 Shared National Credit (SNC) report that credit quality associated with large, syndicated bank loans remains moderate. However, the agencies noted declining credit quality trends due to the pressure of higher interest rates on leveraged borrowers and compressed operating margins in some industry sectors.
FINRA Announces Three New Governors On Its Board

Date 16/02/2024

FINRA announced today that Derrick Roman, former partner of PricewaterhouseCoopers LLP (PwC), and Gus Sauter, current member of FINRA’s Investment Committee, have been appointed as public governors on its Board of Governors. In addition, Naureen Hassan, President of UBS Americas and CEO of UBS Holdings, has been appointed as an industry governor to the Floor Member Governor seat. Together, these individuals bring extensive audit, risk management, regulatory policy and investing experience to the Board.
TMX Group Closes C$1.1 Billion Private Placement Debenture Offering

Date 16/02/2024

TMX Group Limited ("TMX Group") today announced that it has closed a Canadian private placement offering (the "Offering") of C$1.1 billion aggregate principal amount of senior unsecured debentures (collectively, the "Debentures") to accredited investors in Canada comprising: (i) C$350 million aggregate principal amount of 4.678% Series G Senior Unsecured Debentures due August 16, 2029, approximately 4.9 times oversubscribed; (ii) C$300 million aggregate principal amount of 4.836% Series H Senior Unsecured Debentures due February 18, 2032, approximately 4.3 times oversubscribed; and (iii) C$450 million aggregate principal amount of 4.970% Series I Senior Unsecured Debentures due February 16, 2034, approximately 5.8 times oversubscribed. The Debentures are direct senior unsecured and unsubordinated obligations of TMX Group and rank pari passu with all other senior unsecured and unsubordinated indebtedness of TMX Group.

SEC Charges TIAA Subsidiary For Failing To Act In The Best Interest Of Retail Customers - Broker-Dealer To Pay More Than $2.2 Million For Violating Reg BI

Date 16/02/2024

The Securities and Exchange Commission today announced that registered broker-dealer TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), will pay more than $2.2 million to settle charges that it failed to comply with Regulation Best Interest (Reg BI) in connection with recommendations to retail customers to open a TIAA Individual Retirement Account (TIAA IRA).
MIAX Exchange Group - Amendment To Rule 1308, Supervision Of Accounts, To Extend The Temporary Remote Inspection Relief Through June 30, 2024, For Members To Complete Their Branch Office Inspections

Date 16/02/2024

The MIAX Exchange Group has amended all MIAX Exchanges’ Rule 1308, Supervision of Accounts, to provide Members the option to conduct remotely those inspections described in Rule 1308(d) through June 30, 2024.
ETFGI Reports At The End Of January The Assets Invested In The ETFs Industry In Europe Reached A New Record Of US$1.83 Trillion

Date 16/02/2024

ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs ecosystem, reported today that at the end of January the assets invested in the ETFs industry in Europe reached a new record of US$1.83 trillion. During January the ETFs industry in Europe gathered US$21.68 billion in net inflows. In the first month of 2024, assets invested in the ETFs industry in Europe increased by 0.5% going from US$1.82 trillion at the end of 2023 to US$1.83 trillion, according to ETFGI's January 2024 European ETFs and ETPs industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
SEC Publishes Annual Staff Report On Nationally Recognized Statistical Rating Organizations

Date 16/02/2024

The Securities and Exchange Commission’s Office of Credit Ratings published its annual Staff Report to Congress today on Nationally Recognized Statistical Rating Organizations (NRSROs), commonly known as credit rating agencies, to provide findings on its examinations of the agencies, and to discuss the state of competition, transparency, and conflicts of interest among them.
UK Financial Conduct Authority: Mohammed Zina Sentenced To 22 Months In Prison For Insider Dealing And Fraud

Date 16/02/2024

Following a sentencing hearing at Southwark Crown Court, Mohammed Zina, 35, was today sentenced to 22 months in prison for insider dealing and fraud.