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Press Conference By SUZUKI Shunichi, Japan Minister Of Finance And Minister Of State For Financial Services - SMBC Nikko Securities, Sumitomo Mitsui Financial Group And SMBC Nikko Securities

Date 01/12/2022

Japan Exchange Group: Trading Overview In November 2022

Date 01/12/2022

Japan Exchange Group released Trading Overview in November 2022.

Ad Hoc Press Conference By SUZUKI Shunichi, Japan Minister Of State For Financial Services - SMBC Nikko Securities

Date 01/12/2022

Based on a recommendation from the Securities and Exchange Surveillance Commission, today Financial Services Agency (FSA) ordered SMBC Nikko Securities to suspend its business operations relating to so-called “block trade business” for three months and issued a business improvement order requesting that SMBC Nikko Securities clarify managerial responsibilities and strengthen its management and internal control systems.

Securities Commission Malaysia Report: Adoption Levels Of Corporate Governance And Sustainability Best Practices By PLCs Remain Positive

Date 01/12/2022

Malaysian public listed companies (PLCs) continue to take proactive steps to address sustainability risks and opportunities, according to Securities Commission Malaysia’s (SC) Corporate Governance Monitor (CG Monitor) 2022 report released today.

SGX Securities Welcomes LMS Compliance Ltd. To Catalist

Date 01/12/2022

SGX Securities is pleased to welcome LMS Compliance Ltd. to Catalist under the stock code “LMS”.

ASIC Highlights Focus Areas For 31 December 2022 Reporting

Date 01/12/2022

ASIC is urging directors, preparers of annual and half-year reports and auditors to assess whether companies’ financial reports provide useful and meaningful information for investors and other users, as it highlights key focus areas for reporting by companies for full and half-years ending 31 December 2022.

Press Conference By SUZUKI Shunichi, Japan Minister Of Finance And Minister Of State For Financial Services - Market Manipulation

Date 01/12/2022

It was reported in various newspapers this morning that the FSA will be taking administrative action against Nikko Securities today for market manipulation. Can you give us your thought on the fact that a major securities firm and its parent company will be subject to administrative action?

US Office Of The Comptroller Of The Currency Issues First And Second Quarter 2023 CRA Evaluation Schedule

Date 30/11/2022

The Office of the Comptroller of the Currency (OCC) today released its schedule of Community Reinvestment Act (CRA) evaluations to be conducted in the first and second quarters of 2023.

Remarks At The ICI Global Asset Management Asia Forum, SEC Commissioner Mark T. Uyeda, Singapore, Nov. 30, 2022

Date 30/11/2022

Good afternoon.  It is a pleasure to join you in Singapore.  The capital markets between the United States and Asia share significant interlinks.  Today, I will present some perspectives on matters affecting the Asia-Pacific (APAC) region, reflecting my individual views as a Commissioner at the U.S. Securities and Exchange Commission. I also will provide an overview of certain regulatory developments in the United States. 

SIFMA Statement On Amended SEC Rule 15c2-11

Date 30/11/2022

SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on amended Rule 15c2-11 in relation to fixed income securities issued today by the Securities and Exchange Commission (SEC):

“We are pleased the SEC has recognized the potential harm that applying the public disclosure requirements of Rule 15c2-11 to the 144A market would have caused to U.S. companies and investors.  The 144A market is currently relied upon by thousands of corporate and asset-backed securities issuers to raise capital and fund consumer lending, and previous staff guidance from the SEC would have compromised the ability of many issuers to access this market beginning in January 2023.