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SEC Charges New Jersey Investment Adviser And His Firm With Fraud And Other Violations - Defendants Disregarded Their 2021 Settlement And Continued Their Fraud Unabated, Causing $1.6 Million In Harm To Their Fund And The Fund’s Retail Investors
Date 17/03/2025
The Securities and Exchange Commission today announced that it has filed charges against David Yow Shang Chiueh of East Hanover, New Jersey and his investment advisory firm, Upright Financial Corp., for misconduct and for investing more than 25 percent of Upright Growth Fund’s assets in a single company over multiple years, causing losses of $1.6 million.
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CFTC Swaps Report Update
Date 17/03/2025
CFTC's Weekly Swaps Report has been updated, and is now available: http://www.cftc.gov/MarketReports/SwapsReports/index.htm.
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Jessica Barker To Join SIFMA Advocacy Team
Date 17/03/2025
SIFMA today announced Jessica Barker will join the Association’s Federal Advocacy team. As vice president, Jessica will focus on tax policy and Advocacy and will report to the executive vice president, advocacy, Josh Wilsusen.
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Remarks To The Investment Company Institute’s 2025 Investment Management Conference, Mark T. Uyeda, SEC Acting Chairman, San Diego, CA, March 17, 2025
Date 17/03/2025
I. Introduction
Thank you, Paul [Cellupica], for the thoughtful introduction and I appreciate the invitation to address the ICI’s 2025 Investment Management Conference. First, I’d like to congratulate Dorothy Donohue on her well-earned retirement. Dorothy has had an impressive career spanning both public and private service, with a deep knowledge of the fund industry and its legal framework. I have worked with her on many issues over the years. She will be missed, and I wish her well on her next chapter.
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Notice Of Election Released For CalPERS Board Election
Date 17/03/2025
The California Public Employees’ Retirement System (CalPERS) has issued its official Notice of Election for the upcoming election of two members of the CalPERS Board of Administration.
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ISDA Launches New Report Setting Out The Uses And Value Of Derivatives
Date 17/03/2025
ISDA has published a new report that explores how and why different types of firms use derivatives, the value these instruments bring to their business and the benefits to the broader economy.
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Bank Of England Statement On The European Securities And Markets Authority’s Decision Regarding EU Recognition Of UK Central Counterparties
Date 17/03/2025
The Bank of England (the Bank) welcomes the decision of the European Securities and Markets Authority (ESMA) to extend the existing EU recognition of UK central counterparties (CCPs). The decision enables continued access to the clearing services of UK CCPs by EU participants, and supports the sound and stable functioning of markets in both the UK and EU. The recognition decision follows the European Commission’s extension of EU equivalence for the UK’s legal and supervisory framework for CCPs in January 2025:
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ESMA Extends The Tiering And Recognition Of The Three UK-Based CCPs
Date 17/03/2025
The European Securities and Markets Authority (ESMA) announced today its decision to temporarily extend the application of the recognition decisions under Article 25 of the European Market Infrastructure Regulation (EMIR) for three central counterparties (CCPs) established in the United Kingdom (UK).
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Deutsche Börse Group: Business Indicators For February 2025
Date 17/03/2025
A summary of Deutsche Börse Group's business indicators for February 2025 is now available on the Deutsche Börse website:
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OCC Reappoints Six Board Members, Names Robert Hocking As Special Advisor To The Chairman
Date 17/03/2025
OCC, the world's largest equity derivatives clearing organization, today announced the reappointment of Public Directors Mark Dehnert and Susan Lester, Member Directors Stuart Bourne (Bank of America), Alicia Crighton (Goldman Sachs), and Boudewijn Duinstra (ABN AMRO Clearing, US), and Management Director Andrej Bolkovic. These reappointments are subject to approval at OCC’s Annual Stockholder meeting on April 10, 2025.
