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  • Who’s Paying?: Statement On The CAT’s Funding Model, SEC Commissioner Hester M. Peirce, Sept. 6, 2023

    Date 06/09/2023

    Thank you, Mr. Chair. The CAT has been expensive, far more costly than anyone imagined it would be. CAT’s considerable costs need to be allocated and no allocation method is ideal. And regardless of which approach we choose, most costs ultimately will come out of investor pockets. My primary reason for not supporting today’s order adopting a funding model is that we fail to grapple with the need to establish a realistic constraint on CAT costs—costs that come in the form of dollars, time, and lost financial privacy. Investors, the people with the most to lose, have had and will continue to have a limited voice in shaping the CAT’s operations, reach, and costs.

  • Statement On Consolidated Audit Trail Revised Funding Model, SEC Commissioner Mark T. Uyeda, Sept. 6, 2023

    Date 06/09/2023

    Thank you, Chair Gensler. Thank you to the staff for the presentation. The Consolidated Audit Trail, also known as “CAT,” constitutes a comprehensive database that facilitates the tracking of trading activity in U.S. equity and options markets. This data can enable surveillance to identify misconduct, such as market manipulation and front running, and assist with analysis and reconstruction of broader market events if needed. In 2012, the Commission adopted a rule requiring SROs to submit a plan to create such a system and approved a plan in 2016.

  • NGX RegCo CEO Encourages Nigerian Banks To Embrace ESG For Global Competitiveness

    Date 06/09/2023

    Following Nigeria's commitment to adopt the International Sustainability Standards Board (ISSB) standards, Ms. Tinuade Awe, the Chief Executive Officer of NGX Regulation Limited (NGX RegCo), emphasized the importance of Nigerian banks swiftly integrating environmental, social, and governance (ESG) principles into their business strategies. Awe asserted that doing so would provide them with a competitive edge in the global market.

  • London Stock Exchange Group plc: Variation Of Lock-Up Arrangements

    Date 06/09/2023

    London Stock Exchange Group plc ("LSEG" or the "Company") notes the announcement by BCP York Holdings (Delaware) L.P. (an entity owned by a consortium of certain investment funds affiliated with Blackstone Inc. and including an affiliate of Canada Pension Plan Investment Board, an affiliate of GIC Special Investments Pte. Ltd. and certain other co-investors) ("BCP York"), York Holdings II Limited ("York Holdings II") and York Holdings III Limited ("York Holdings III" and together with York Holdings II, the "York Entities")) (entities owned by BCP York, Thomson Reuters and certain other minority holders) (BCP York, York Holdings II and York Holdings III together, the "Consortium") in relation to a proposed placing to institutional investors (the "Proposed Placing"), directed buyback and concurrent sale of call options in respect of, in aggregate, approximately 43,100,000 shares in the Company (together, the "Transaction"). Further details are set out in the Consortium's announcement.

  • SEC Approves Funding Amendment To National Market System Plan Governing The Consolidated Audit Trail

    Date 06/09/2023

    The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (CAT) (the “CAT NMS Plan”) to adopt a revised funding model, called the “Executed Share Model,” for the CAT and establish a fee schedule for CAT fees for the self-regulatory organizations that are participants to the CAT NMS Plan in accordance with the Executed Share Model.

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