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Japan Financial Services Agency: Washington D.C. Meeting Of The International Forum Of Independent Audit Regulators (IFIAR)

Date 18/05/2023

From April 25 to 27, 2023, the 23rd Plenary meeting of the International Forum of Independent Audit Regulators (IFIAR) was held in Washington D.C., United States. The Certified Public Accountants and Auditing Oversight Board (CPAAOB)/Financial Services Agency (FSA) and other member regulators from 44 jurisdictions attended the meeting.
MIAX Options Exchange - Trading Of Stock-Option Orders With Non-conforming Ratios

Date 17/05/2023

The MIAX Options Exchange will begin accepting non-conforming ratio stock-option complex orders beginning Monday, May 22, 2023.
Readout: US Deputy Secretary of the Treasury Wally Adeyemo’s Meeting with Bank Policy Institute

Date 17/05/2023

Today, U.S. Deputy Secretary of the Treasury Wally Adeyemo met with CEOs and executives convened by the Bank Policy Institute (BPI) to discuss President Biden’s economic priorities. Deputy Secretary Adeyemo thanked the banks for their close collaboration in implementing the sweeping sanctions imposed in response to Russia’s illegal invasion of Ukraine and highlighted the evidence that these measures are working, including Russia’s inability to secure key inputs to equip its military and increasing strain on the Kremlin’s budget. The Deputy Secretary also discussed Treasury’s efforts to bolster cybersecurity in the financial sector, including Treasury’s recent report on opportunities and challenges related to the adoption of cloud-based technology in the financial sector and Treasury’s efforts to enhance cyber incident reporting. Deputy Secretary Adeyemo and the bank executives agreed on the urgency of these efforts and the importance of continuing to build cyber resilience in the financial sector. The Deputy Secretary also shared updates on Treasury’s ongoing anti-money laundering regulatory reform work, including its work to effectively implement beneficial ownership reporting and adopt the risk-based approach while minimizing unnecessary burdens on the private sector, and listened to the perspectives of the CEOs in attendance on these topics. Finally, the Deputy Secretary underscored the urgent need for Congress to raise or suspend the debt limit in order to protect the full faith and credit of the United States and avoid needlessly undermining our strong economic trajectory.
Intercontinental Exchange Chair & CEO Jeffrey C. Sprecher To Present At The Bernstein 39th Annual Strategic Decisions Conference On May 31

Date 17/05/2023

Intercontinental Exchange, Inc. (NYSE:ICE), a leading global provider of data, technology, and market infrastructure, announced today that Jeffrey C. Sprecher, Chair and CEO, will present at the Bernstein 39^th Annual Strategic Decisions Conference. The presentation will take place on Wednesday, May 31 at 3:30 p.m. ET. The presentation will be available live and in replay via webcast and can be accessed in the investor relations and media section of ICE’s website at www.ir.theice.com.
Robinhood Markets, Inc. Reports April 2023 Operating Data

Date 17/05/2023

Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today reported selected monthly operating data for April 2023:

SIFMA Fixed Income Market Close Recommendations In The U.S., The U.K., And Japan For The U.S. Memorial Day & U.K. Spring Bank Holidays

Date 17/05/2023

SIFMA confirmed its previous recommendations for the U.S., the U.K., and Japan in observance of the U.S. Memorial Day and U.K Spring Bank holidays.
Statement On Covered Clearing Agency Resilience And Recovery And Wind-Down Plans, SEC Commissioner Caroline A. Crenshaw, May 17, 2023

Date 17/05/2023

Thank you, Chair Gensler. Clearing agencies play an increasingly important role in the capital markets. As I’ve noted in the past, clearance and settlement infrastructure is often referred to as the “plumbing” of the markets – and as someone who has been dealing with ongoing household plumbing issues, I believe that label is appropriate, as I can personally attest to the fundamental importance of plumbing to the smooth functioning of a household. By standing between buyers and sellers involved in securities transactions, clearing agencies help to ensure that those transactions are carried out promptly and accurately. They are also essential to managing risk; in particular, the risks that a counterparty will not perform and a trade will fail.
Statement On Proposed Amendments To Covered Clearing Agency Standards, SEC Commissioner Hester M. Peirce, May 17, 2023

Date 17/05/2023

Thank you, Mr. Chair. Moving risk into a clearing agency does not eliminate risk, but doing so can foster market resilience if the clearing agency manages its own risks well. Clearing mandates and non-member-owned clearing agencies complicate risk management, making a regulatory hand in risk management inevitable. Regulating clearing agencies is difficult and delicate work. If we get it wrong, the harm to the market could be severe. Periodically revisiting the rules to ensure they are working properly is important. For that reason, I am supporting today’s proposal. That support comes with a plea for input from the public despite the as-is-now-usual unduly short comment period.
Statement On Covered Clearing Agency Resilience And Recovery And Wind-Down Plans, SEC Commissioner Mark T. Uyeda, May 17, 2023

Date 17/05/2023

Thank you, Chair Gensler. In Section 17A of the Securities Exchange Act of 1934 (“Exchange Act”), Congress determined that “the development of uniform standards and procedures for clearance and settlement will reduce unnecessary costs and increase the protection of investors and persons facilitating transactions by and acting on behalf of investors.” Congress thus directed the Commission “to facilitate the establishment of a national system for clearance and settlement of transactions in securities.” In doing so, Congress also directed the Commission to have “due regard for the public interest, the protection of investors, the safeguarding of securities and funds, and maintenance of fair competition”. The proposal before the Commission today would change the covered clearing agency rules promulgated under the Exchange Act.
CFTC Staff Issues An Advisory Related To Prime Brokerage Arrangements And Derivatives Clearing Organization Registration Requirements

Date 17/05/2023

The Commodity Futures Trading Commission’s Division of Clearing and Risk (DCR) today issued a staff advisory that encourages entities using prime brokerage arrangements that provide credit substitution on a centralized basis to examine the specific nature of their activities for the potential need to register as a DCO.