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SGX Securities Welcomes The Listing Of CSOP CGS-CIMB FTSE Asia Pacific Low Carbon Index ETF

Date 28/09/2022

SGX Securities today welcomed the listing of CSOP CGS-CIMB FTSE Asia Pacific Low Carbon Index ETF, with assets under management (AUM) of S$150 million at launch. It is the world’s first low carbon ETF with a geographical focus on developed and emerging markets in Asia Pacific. Today’s listing brings the total global AUM of sustainability-linked ETFs listed on SGX to more than S$1 billion.
ASX: AGM Addresses By The Chair, The Managing Director And CEO

Date 28/09/2022

Click here to download copies of the addresses to be given by the Chair and the Managing Director and CEO at ASX Limited’s Annual General Meeting today.
New Zealand Ministry Of Business, Innovation And Employment Releases Consultations On Regulations And Fees For Conduct Of Financial Institutions Regime

Date 28/09/2022

The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko notes two consultations by the Ministry of Business, Innovation and Employment (MBIE) on incentives regulations and proposed licensing fees to support the Conduct of Financial Institutions (CoFI) regime.
Keynote Address By CFTC Commissioner Caroline D. Pham At CordaCon 2022 - A Voice For The People: A Proposal For A New Office Of The Retail Advocate

Date 27/09/2022

Good afternoon to you all. Thank you to R3 for inviting me to speak at CordaCon in London.
CFTC: The Market Risk Advisory Committee Announces Agenda For September 28 Meeting

Date 27/09/2022

The Market Risk Advisory Committee (MRAC) today released the agenda for a public meeting that will be held on September 28, 2022, at 9:30 a.m. EDT at the Commodity Futures Trading Commission’s Washington, D.C. headquarters. Commissioner Kristin N. Johnson is the sponsor of the MRAC

Statement Of CFTC Commissioner Christy Goldsmith Romero Regarding Holding Wall Street Accountable - For Widespread Use Of Unauthorized Communications Platforms, Like Whatsapp And Signal, To Evade Regulatory Oversight

Date 27/09/2022

I vote to approve the Commodity Futures Trading Commission’s (“CFTC”) enforcement actions that hold 11 Wall Street banks and other financial institutions accountable for senior executives, traders, and other employees’ widespread use of unauthorized communications methods — like encrypted messaging apps and private emails and texts — to avoid creating records and evade regulatory and bank oversight. These cases shut down and bring transparency and public accountability to Wall Street’s pervasive and evasive bank practices that jeopardize market integrity and violate the law. The CFTC is requiring all defendants to admit wrongdoing, pay historically high penalties for recordkeeping violations of the law (a combined $1.8 billion between CFTC and parallel Securities and Exchange Commission (“SEC”) cases), and fix internal policies and practices to ensure that both U.S. regulators and bank executives can prevent, detect, and correct unauthorized illegal communications.
Statement Of CFTC Commissioner Kristin N. Johnson Regarding CFTC Orders For $700 Million Penalty Against Bank-Affiliated Entities For Offline Communications

Date 27/09/2022

Today, the Commodity Futures Trading Commission (CFTC or Commission) issued a series of orders settling charges against swap dealers and affiliated futures commission merchants[1] (Bank-Affiliated Entities) for failing to maintain, preserve, and produce records in compliance with CFTC recordkeeping requirements and for failing to diligently supervise matters related to their businesses as CFTC registrants. These orders require market participants who failed to meet legal and compliance obligations under the Commodity Exchange Act (CEA) and CFTC regulations to pay over $700 million in civil monetary penalties collectively and to implement immediate and effective remediation measures to ensure appropriate recordkeeping and supervision.
CFTC Orders 11 Financial Institutions To Pay Over $710 Million For Recordkeeping And Supervision Failures For Widespread Use Of Unapproved Communication Methods - Registered Swap Dealers And Fcms Admit Use Of Texts, Whatsapp And Other Unapproved Methods To Conduct Business

Date 27/09/2022

The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant (FCM) affiliates of 11 financial institutions for failing to maintain, preserve, or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants.
Federal Reserve Board Invites Comment On Updates To Its Existing Guidance On Commercial Real Estate Loan Accommodations For Borrowers

Date 27/09/2022

The Federal Reserve Board on Tuesday announced that it has invited comment on updates to its existing guidance on commercial real estate loan accommodations for borrowers. The proposal from the Board is identical to a proposal issued by the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, and the National Credit Union Administration last month.
SEC Charges 16 Wall Street Firms wWth Widespread Recordkeeping Failures - Firms Admit To Wrongdoing And Agree To Pay Penalties Totaling More Than $1.1 Billion

Date 27/09/2022

The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. The firms admitted the facts set forth in their respective SEC orders, acknowledged that their conduct violated recordkeeping provisions of the federal securities laws, agreed to pay combined penalties of more than $1.1 billion, and have begun implementing improvements to their compliance policies and procedures to settle these matters.