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Japan Financial Services Agency’s Efforts To Promote Innovation

Date 03/08/2022

In order to create highly convenient services through digital innovations, the Financial Services Agency (JFSA) adequately identify regulatory and technological issues and address them in an integrated manner through FinTech Innovation Hub. As a specific initiative, we will introduce the “FIN/SUM”, a global symposium on FinTech, contribution to the Blockchain Governance Initiative Network (BGIN), and efforts on governance issues in decentralized financial system through Blockchain Multilateral Joint Research Project
Trading Technologies Successfully Launches Day-One Connectivity To New Joint Initiative Between SGX Group And National Stock Exchange Of India For International Nifty Equity Derivatives Trading - Major Global Banks And Other TT Clients Gained Immediate Access When Trading Began Through NSE IFSC-SGX Connect On July 29

Date 03/08/2022

Trading Technologies International, Inc. (TT), a global provider of high-performance professional trading software, infrastructure and data solutions, announced today that the firm successfully began offering clients access to the popular Nifty equity derivatives through NSE IFSC-SGX Connect (the Connect), a new joint initiative between Singapore Exchange (SGX Group) and National Stock Exchange of India (NSE) launched on Friday, July 29. The Connect – a collaboration in trading of India's stock index-based products – is a prominent achievement for India's first International Financial Services Centre (IFSC) known as GIFT (Gujarat International Finance Tec) City in Gandhinagar.
NZX Shareholder Metrics - July 2022

Date 03/08/2022

Please see attached NZX Limited Shareholder Metrics for July 2022.
Remarks To The Small Business Capital Formation Advisory Committee, SEC Commissioner Mark T. Uyeda, Washington D.C., Aug. 2, 2022

Date 02/08/2022

Thank you, Carla [Garrett]. Good morning and welcome to each of you. It is a pleasure to participate for the first time with the Committee as a Commissioner. But as a longtime SEC staff member, it is great to see some familiar faces today, some going back to the earlier Advisory Committee on Small and Emerging Companies. I also see some new faces and I look forward to working with you.
Nasdaq July 2022 Volumes

Date 02/08/2022

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for July 2022 on its investor relations website. A data sheet showing the monthly volumes and quarterly capture rates can be found at: http://ir.nasdaq.com/financials/volume-statistics.

US Acting Comptroller Of The Currency Discusses Cybersecurity Risks To Financial Sector

Date 02/08/2022

Acting Comptroller of the Currency Michael J. Hsu today discussed cybersecurity risks facing the financial sector before the Financial and Banking Information Infrastructure Committee and the Financial Services Sector Coordinating Council. In his remarks, Mr. Hsu discussed the risk of evolving cybersecurity threats, the risk to critical operations, and the risk of complacency, and highlighted the need for collaboration among public- and private-sector stakeholders to safeguard confidence in the financial sector.
Remarks At The Small Business Capital Formation Advisory Committee Meeting: Shining A Spotlight (Or Searchlight) On Secondary Market Liquidity For Small Businesses, SEC Commissioner Hester M. Peirce, Washington D.C., Aug. 2, 2022

Date 02/08/2022

Good morning. Thank you to our committee members for convening and to our panelists for joining today’s meeting. I am pleased that the discussion will cover a critically important topic for small businesses and the many Americans who would like to invest in them: secondary market liquidity.
Robinhood Reports Second Quarter 2022 Results

Date 02/08/2022

Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today announced financial results for the second quarter of 2022, which ended June 30, 2022.
Statement On Jury’s Verdict In Trial Of Christopher Nohl, Michael Hull, And Entities They Owned Or Controlled: Gurbir S. Grewal, SEC Director, Division Of Enforcement

Date 02/08/2022

After a 7-day trial, a jury in the United States District Court for the Western District of Wisconsin found Christopher Nohl, Michael Hull, and various entities under their control liable for securities fraud in connection with their operation of the Greenpoint Tactical Income Fund, a Wisconsin-based private investment fund.
New York Department Of Financial Services Superintendent Harris Announces $30 Million Penalty On Robinhood Crypto For Significant Anti-Money Laundering, Cybersecurity & Consumer Protection Violations – DFS Investigation Finds Robinhood Crypto Failed To Maintain Effective And Compliant BSA/AML And Cybersecurity Programs, Violated Critical Consumer And Reporting Requirements, And Improperly Certified Compliance

Date 02/08/2022

Superintendent of Financial Services Adrienne A. Harris announced today that Robinhood Crypto, LLC (“RHC”) will pay a $30 million penalty to New York State for significant failures in the areas of bank secrecy act/anti-money laundering (“BSA/AML”) obligations and cybersecurity that resulted in violations of the Department’s Virtual Currency Regulation (23 NYCRR Part 200), Money Transmitter Regulation (3 NYCRR Part 417), Transaction Monitoring Regulation (23 NYCRR Part 504), and Cybersecurity Regulation (23 NYCRR Part 500). In addition to the penalty, RHC will also be required, as part of the settlement, to retain an independent consultant that will perform a comprehensive evaluation of RHC’s compliance with the Department’s Regulations and RHC’s remediation efforts with respect to the identified deficiencies and violations.