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News Centre
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SEC Announces Agenda And Panelists For Roundtable On Preparations For 24-Hour Trading
Date 01/09/2026
The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.
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SEC Charges San Francisco Bay Area Private Fund Executives With Multimillion Dollar Ponzi-Like Scheme
Date 01/09/2026
The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orchestrating an offering fraud that raised more than $80 million from approximately 190 mostly retail investors, many of whom were retired senior citizens.
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CFTC Resolves Action Against Swaps Trader For Making False Statements
Date 01/09/2026
The Commodity Futures Trading Commission today announced the U.S. District Court for the Southern District of New York entered a consent order against John Patrick Gorman III, a U.S. dollar swaps trader and managing director of a global investment bank.
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Office Of The Comptroller Of The US Currency Releases CRA Performance Evaluations For 23 National Banks And Federal Savings Associations
Date 01/09/2026
The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of August 1, 2026, through August 31, 2026.
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Moscow Exchange Trading Volumes In August 2026
Date 01/09/2026
In August 2026, total trading volumes across Moscow Exchange's markets was RUB 194.9 trln.
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READOUT: US Secretary Of The Treasury Scott Bessent's Meeting With Bank Of Japan Governor Kazuo Ueda
Date 01/09/2026
On Sunday, August 30, Secretary of the Treasury Scott Bessent met with Bank of Japan Governor Kazuo Ueda on the margins of the G20 Finance Ministers and Central Bank Governors Meeting in Asheville, North Carolina.
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ISDA derivatiViews: 10 Years Of The ISDA SIMM
Date 01/09/2026
As the derivatives industry prepared for the September 2016 implementation of initial margin requirements for non-cleared derivatives, one challenge stood out: counterparties needed to agree on the amount of initial margin to be exchanged. But if each firm developed its own model to calculate initial margin amounts, the result would be chaos, with disputes, delays and increased risk. A common model was needed that everyone could use – one that was credible, transparent and easily replicable. The answer was the ISDA Standard Initial Margin Model (ISDA SIMM), a pioneering industry solution that continues to shape how the derivatives market tackles major industry challenges today.
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SEC Proposes to Modernize Rules for Registered Transfer Agents
Date 01/09/2026
The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.
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Ontario Securities Commission Investor Warnings And Alerts For August 11 – September 1, 2026
Date 01/09/2026
The Ontario Securities Commission (OSC) is warning Ontario investors that the following companies are not registered to deal or advise in securities in Ontario:
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Statement On Proposed Amendments To The SEC’s Transfer Agent Rules, SEC Commissioner Mark T. Uyeda, Sept. 1, 2026
Date 01/09/2026
Today, the Commission proposes a comprehensive set of amendments to the rules governing registered transfer agents. Transfer agents play a vital role in the U.S. securities markets. They facilitate the orderly settlement of securities transactions and ensure the accuracy of securities ownership records. Transfer agents form part of the essential infrastructure that allows securities to travel smoothly from issuer to investor and from seller to buyer.
