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New Zealand Financial Markets Authority: Accredited Body Report - CPA Australia
Date 10/12/2024
Under the Auditor Regulation Act 2011, the FMA is responsible for ensuring accredited bodies are effective in their role as frontline regulators of domestic licensed auditors and registered audit firms.
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ASIC Reissues Regulatory Guide 133 On Funds Management And Custodial Services
Date 10/12/2024
ASIC has reissued Regulatory Guide 133 Funds management and custodial services: Holding assets (RG 133) to provide the latest guidance to asset-holding Australian financial services (AFS) licensees.
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Shenzhen Stock Exchange Market Bulletin, December 06, 2024, Issue 37
Date 10/12/2024
Click here to download Shenzhen Stock Exchange's market bulletin, issue 37.
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New Zealand Financial Markets Authority - Accredited Body Report – New Zealand Institute Of Chartered Accountants
Date 10/12/2024
Under the Auditor Regulation Act 2011, the FMA is responsible for ensuring accredited bodies are effective in their role as frontline regulators of domestic licensed auditors and registered audit firms.
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ASIC Proposes To Remake Relief Instrument For 31-Day Notice Term Deposits
Date 10/12/2024
ASIC is inviting feedback on its proposal to remake a legislative instrument that gives relief for 31-day notice term deposits, with a minor amendment to the current settings around pre and post-maturity notices.
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New Zealand Financial Markets Authority Launches “Regulatory Sandbox” Pilot For 2025
Date 10/12/2024
As part of the FMA's commitment to support financial services innovation, the FMA is launching a pilot “regulatory sandbox” and is asking for applications from interested parties.
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Taiwan Futures Exchange Newsletter - December 2024
Date 10/12/2024
On December 9, 2024, Taiwan Futures Exchange (TAIFEX) listed a new futures contract based on the FTSE TWSE Taiwan Mid-Cap 100 Index, to cater to the rising needs for diversified asset management. Tracking the performance of mid-cap stocks listed on the Taiwan Stock Exchange (TWSE) and ranked 51st to 150th by market capitalization, Taiwan Mid-Cap 100 Futures (M1F) offers broad sectoral representation. With a small contract size of approximately TWD 200,000, M1F provides an accessible tool for precise portfolio management.
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SEC Charges Morgan Stanley Smith Barney For Policy Deficiencies That Resulted In Failure To Prevent And Detect Its Financial Advisors’ Theft Of Investor Funds
Date 09/12/2024
The Securities and Exchange Commission today charged Morgan Stanley Smith Barney LLC (MSSB) with failing to reasonably supervise four investment adviser and registered representatives (hereafter, financial advisors) who stole millions of dollars of advisory clients’ and brokerage customers’ funds and for failing to adopt policies and procedures reasonably designed to prevent and detect such theft. To settle the charges, MSSB agreed to pay a $15 million penalty and accept certain undertakings.
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SEC Charges Ian Bell With Defrauding Professional Athletes And Others In Fraudulent Day-Trading Scheme
Date 09/12/2024
The Securities and Exchange Commission today charged Denver resident Ian G. Bell with securities fraud for lying to investors and misappropriating their funds in connection with a fraudulent day-trading scheme.
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Federal Reserve Board Provides Technical Clarification That Its Account Access Guidelines Apply To Excess Balance Accounts
Date 09/12/2024
The Federal Reserve Board on Monday provided a technical clarification that its account access guidelines also apply to excess balance accounts, known as EBAs. An EBA is a limited-purpose account at a Federal Reserve Bank established for maintaining the reserve balances of eligible institutions. An EBA is managed by an agent on behalf of the participating institutions.
