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ASIC Consults On ‘Sunsetting’ Class Orders On Changing Responsible Entities And Equal Treatment

Date 21/03/2023

ASIC is seeking feedback from responsible entities of managed investment schemes and corporate directors of corporate collective investment vehicles (CCIVs) on proposals to remake ‘sunsetting’ class orders.
ASEAN Capital Markets Forum Reinforces Its Role In Promoting Transition In The Region

Date 21/03/2023

The ACMF convened its 38th ACMF Chairs’ Meeting today hosted by the Indonesia Financial Services Authority (Otoritas Jasa Keuangan / OJK). The meeting is in a hybrid format with the in-person meeting being held in Yogyakarta, Indonesia.
NZX: Issue Of Ordinary Shares And Performance Rights

Date 21/03/2023

NZX advises that it has issued $1,000 of ordinary shares (gross of tax) in NZX to each of its employees as at 7 February 2023 who have joined or become a permanent employee of NZX since NZX’s previous issue of $1,000 of ordinary shares to employees as at 1 February 2022.
ASIC: Former Tesla Motors Australia Director Sentenced For Insider Trading

Date 21/03/2023

On 17 March 2023, former Tesla Motors Australia Pty Ltd (Tesla Australia) director Kurt Schlosser, of Sydney, New South Wales, was sentenced in the Sydney District Court following his guilty pleas to two insider trading offences.
Ontario Securities Commission Awards Nearly Half A Million Dollars To Whistleblower

Date 20/03/2023

The Ontario Securities Commission (OSC) has awarded approximately $481,000 to a whistleblower for information and assistance that led to a successful OSC enforcement action.

New SRO’s Compliance Priorities Report Helps Firms Fulfill Regulatory Requirements And Protect Canadian Investors

Date 20/03/2023

New Self-Regulatory Organization (New SRO) published its 2022-23 Compliance Priorities Report, Helping Firms with Compliance, summarizes current issues and challenges that dealers regulated by New SRO should focus on to improve investor protection and foster market integrity.
SEC Virtual Outreach Event Highlights Students On The Frontlines Of Investor Protection

Date 20/03/2023

The U.S. Securities and Exchange Commission announced that it will host a virtual event, entitled “Investor Advocacy Clinics: Students Fight for Investor Justice,” on Wednesday, March 29 from 11:00 a.m. to 12:00 p.m. ET. The event will highlight the important work of law school students who provide free legal representation and other resources to harmed investors engaged in disputes with their financial professionals.
Readout: US Secretary Of The Treasury Janet L. Yellen’s Call With German Minister For Economic Cooperation And Development Svenja Schulze

Date 20/03/2023

oday, U.S. Secretary of the Treasury Janet L. Yellen spoke with German Minister for Economic Cooperation and Development, Svenja Schulze. During their meeting, Secretary Yellen conveyed the importance of evolving the multilateral development banks to better address global challenges like climate change, pandemics, fragility and conflict. She called for a strong set of initial evolution reforms for the World Bank Group at the upcoming Spring Meetings, with further reforms to be defined and implemented in the lead up to the October Annual Meetings. She also thanked Germany for its support of the U.S. candidate for World Bank President.
Investors Discover Agribusiness: The Number Of Individual Investors Almost Doubles In The Sector’s Products At B3 In 2022 - Invested Volume Reached BRL 411 Billion, 79% More Than At The End Of 2021. The Figure Represents 19.5% Of All Investment In Fixed Income And Equities

Date 20/03/2023

Diversification has proven to be an important growth vector for the Brazilian capital market. A sectoral overview of individual investment data at B3 in 2022 shows a steep increase in agribusiness linked products in terms of number of investors and volume invested. These figures grew 95% and 79%, respectively, reaching 1.6 million investors and BRL 411 billion in resources, distributed among Agribusiness Credit Bills (LCAs), Agribusiness Receivables Certificates (CRAs) and Agribusiness Investment Funds (FIAGRO).
Remarks At The ICI Investment Management Conference, William Birdthistle, SEC Director, Division Of Investment Management, Palm Desert, California, March 20, 2023

Date 20/03/2023

Good morning. Thank you, Eric, for the ICI’s gracious invitation and your own kind welcome. After so long apart during the pandemic, this opportunity to see one another face-to-face and to speak in person is a most welcome return to something like normality.