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ASIC Annual Forum 2022: Chair’s Keynote - Opening Statement By ASIC Chair Joe Longo At The ASIC Annual Forum, Hilton Hotel, Sydney On 3 November 2022

Date 03/11/2022

Thank you, Brendan, for the warm welcome to country.

Before I begin, I would like to acknowledge the traditional owners and custodians of the land on which we meet today, and to pay my respects to their elders past, present and emerging. I extend that respect to Aboriginal and Torres Strait Islander people present today.

Robinhood Reports Third Quarter 2022 Results

Date 02/11/2022

Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today announced financial results for the third quarter of 2022, which ended September 30, 2022.

ISDA derivatiViews: Understanding And Managing The Impact Of Climate Risk

Date 02/11/2022

It has become clear that climate-related risks – including extreme weather events – have the potential to impact asset prices and even the creditworthiness of some companies, but what’s less clear is to what extent and under what circumstances. Banks are now upping their efforts to better understand the impact of climate change on their trading books, but it’s relatively early days and there’s little information on how different institutions are approaching this. In response, ISDA and EY recently published the findings from a survey that help to clarify the industry progress to date – and the work that still needs to be done.

Statement On The Final Rule: Enhanced Reporting Of Proxy Votes By Registered Management Investment Companies - Reporting Of Executive Compensation Votes By Institutional Investment Managers, SEC Commissioner Mark T. Uyeda, Nov. 2, 2022

Date 02/11/2022

Thank you, Chair Gensler, and thanks to the staff for the presentation.

Statement On Proposed Rule: Open-End Fund Liquidity Programs and Swing Pricing - Form N-PORT Reporting, SEC Commissioner Mark T. Uyeda, Nov. 2, 2022

Date 02/11/2022

Thank you, Chair Gensler, and thank you to the staff for the presentation.

ISDA And BNP Paribas Successfully Test Digital Regulatory Reporting For CFTC Rules

Date 02/11/2022

ISDA has today announced that BNP Paribas has successfully implemented and tested a new initiative to enable digital regulatory reporting under the US Commodity Futures Trading Commission’s (CFTC) amended swap data reporting rules. This marks the first time ISDA’s Digital Regulatory Reporting (DRR) initiative has been deployed in a real-world, production-level environment, with a successful submission of data to the Depository Trust & Clearing Corporation’s (DTCC) swap data repository (SDR)

Statement On Enhanced Reporting Of Proxy Votes, SEC Commissioner Caroline A. Crenshaw, Nov. 2, 2022

Date 02/11/2022

Commission rules often focus on corporate transparency and helping investors understand how their money – their ownership stake of U.S. companies – is used. Today’s rule does just that. When the Commission adopted Form N-PX in 2003, it stated that investors in mutual funds have a “fundamental right” to know how proxy votes are being cast on their behalf. Today’s amendments build on that foundation in a number of ways:

SIFMA Insights - Market Metrics & Trends - Equity Volumes, Options Volumes, And Volatility

Date 02/11/2022

In this monthly report, we look at market metrics and trends for volatility, price and volumes.

Learning from History: Statement On Open-End Fund Liquidity Risk Management Programs And Swing Pricing, SEC Commissioner Caroline A. Crenshaw, Nov. 2, 2022

Date 02/11/2022

The Importance of Liquidity Risk Management Programs

Mutual funds, ETFs and other open-end funds have become primary investment vehicles for the retirement and savings accounts of U.S. families.

SEC Charges Halal Capital Founder With Multimillion Dollar Fraudulent Scheme That Targeted Muslim Community

Date 02/11/2022

The Securities and Exchange Commission today charged Jebara Igbara, the founder of Halal Capital LLC, in connection with a more than $8 million scheme that targeted investors from the New York metropolitan area’s Muslim community.