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The Seventh Japan-Korea Shuttle Meeting And Modification Of Memorandum Of Cooperation Concerning Assistance And Mutual Cooperation In The Area Of Financial Supervision

Date 20/12/2023

The Seventh Japan-Korea Shuttle Meeting was held by three financial supervisory and regulatory authorities, namely, the Financial Services Agency (FSA) of Japan, and the Financial Services Commission (FSC) and the Financial Supervisory Service (FSS) of the Republic of Korea, in Seoul, on December 19 and　20, 2023.
SEC Charges Former CEO Of Medical Device Startup Stimwave With $41 Million Fraud - Scheme Included Creating And Selling A Fake Medical Device That Was Implanted Into Patients’ Bodies

Date 19/12/2023

The Securities and Exchange Commission today charged Laura Tyler Perryman, the former CEO and co-founder of Florida-based medical device startup Stimwave Technologies Inc., with defrauding investors out of approximately $41 million by making false and misleading statements about one of the company’s key medical device products. According to the SEC’s complaint, the medical device comprised several components, one of which was a fake, non-functional component that was implanted into patients’ bodies.
UK Financial Conduct Authority: Proposed New Rules To Encourage Companies To List In The UK And Other Market Improvements Set Out By Financial Watchdog

Date 19/12/2023

Proposals aimed at making the UK’s listing regime more accessible, effective, and competitive, have today been set out in detail by the Financial Conduct Authority (FCA).
Concurring Statement Of CFTC Commissioner Caroline D. Pham Regarding Proposed Amendments To Clearing Member Funds Requirements

Date 19/12/2023

I concur on the Notice of Proposed Rulemaking on Protection of Clearing Member Funds Held by Derivatives Clearing Organizations (DCOs) (Proposed Amendments to Clearing Member Funds Requirements or Proposal) because it seeks to protect the proprietary funds of futures commission merchants (FCMs), and I understand that it essentially codifies the existing good practices most of the CFTC’s registered DCOs already follow. However, with respect to retail participants, I believe that the Commission should consider whether there should be a new registration category for direct clearing retail DCOs. I also renew my call for an Office of the Retail Advocate. Both of these steps would better ensure customer protection in our regulated markets.
Treasury International Capital Data For October

Date 19/12/2023

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for October 2023. The next release, which will report on data for November 2023, is scheduled for January 19, 2024.

Autorité des Marchés Financiers: PlexCoin – Dominic Lacroix Found Guilty

Date 19/12/2023

On December 11, 2023, Dominic Lacroix, creator of the virtual currency PlexCoin, and Yan Ouellet, director of information technology for the project when the alleged facts occurred, were found guilty (pdf - 4 MB) by Québec Court Judge Steve Magnan.
Statement Of CFTC Commissioner Christy Goldsmith Romero On Strengthening Swap Dealer Reporting Requirements For Commodity-Based Swaps To Promote Financial Stability

Date 19/12/2023

The CFTC proposes to strengthen swap dealer reporting requirements for commodity-based swaps—reporting that the CFTC uses for surveillance, oversight, and to avoid systemic risk. Swaps markets contributed to the 2008 financial crisis, and were previously opaque, leaving regulators blind to emerging risks. Dodd Frank Act reforms required swap dealers to report transaction-level data to swap data repositories and the CFTC.
B.C. Securities Commission Appoints Warren Funt As Commissioner

Date 19/12/2023

Warren Funt has been appointed by the B.C. government to the board of the B.C. Securities Commission (BCSC).
US Office Of The Comptroller Of The Currency Assesses $15 Million Penalty Against U.S. Bank For Unfair Practices

Date 19/12/2023

The Office of the Comptroller of the Currency (OCC) today assessed a $15 million civil money penalty against U.S. Bank, National Association, Cincinnati, Ohio, for violations of law relating to the bank’s administration of a prepaid card program to distribute public unemployment insurance benefit payments.
ETFGI Reports Assets Invested In Actively Managed ETFs Listed Globally Reached A New Milestone Of US$700.38 Billion At The End Of November

Date 19/12/2023

ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs ecosystem, reported today that assets invested in actively managed ETFs listed globally reached a new milestone of US$700.38 billion at the end of November. Actively managed ETF listed globally reported net inflows of US$34.82 billion during November, bringing year-to-date net inflows to a record US$166.94 billion. Assets invested in actively managed ETFs have increased 43.8% year-to-date in 2023, going from US$487.22 billion at the end of 2022 to US$700.38 billion, according to ETFGI's November 2023 Active ETFs industry landscape insights report, an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)