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Bursa Malaysia To Drive Good Corporate Governance With ICDM As Knowledge Partner

Date 19/11/2021

Bursa Malaysia Berhad (“Bursa Malaysia” or the “Exchange”) today announced the appointment of the Institute of Corporate Directors Malaysia (“ICDM”) as knowledge partner to conduct the Mandatory Accreditation Programme (“MAP”) for directors of Public Listed Companies (“PLCs”), in line with the goal to strengthen the corporate governance ecosystem in Malaysia.
Statement By US Secretary Of The Treasury Janet L. Yellen On The Deficit Impacts Of The Build Back Better Act

Date 18/11/2021

Secretary of the Treasury Janet L. Yellen released a statement today on the impact of the Build Back Better legislation.
SEC Proposes Rule To Provide Transparency In The Securities Lending Market - Proposed Rule Would Increase Availability Of Information Regarding Securities Lending Transactions

Date 18/11/2021

The Securities and Exchange Commission today published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as the Financial Industry Regulatory Authority. The registered national securities association would then make the material terms of the securities lending transaction available to the public.
Ontario Securities Commission Seeks Comment On Priorities For 2022-2023

Date 18/11/2021

The Ontario Securities Commission (OSC) is seeking feedback from stakeholders on its draft 2022-2023 Statement of Priorities (SoP) to inform business planning for the fiscal year. The draft SoP sets out the four strategic goals the OSC intends to focus its resources and actions on, as well as the priority initiatives the OSC will pursue to support the strategic goals. Investor protection continues to remain a top priority in the initiatives and actions the OSC undertakes.
SEC Proposes Updates To Electronic Recordkeeping Requirements - Amendments Will Help Modernize How Broker-Dealers Preserve Electronic Records And Enhance The Requirements For Security-Based Swap Entities

Date 18/11/2021

The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants (MSBSPs).

Canadian Securities Regulators, SROs And Investor Protection Funds Establish Timeline For New Self-Regulatory Framework

Date 18/11/2021

Work is progressing on the creation of a new self-regulatory organization (SRO) for the investment industry and a new investor protection fund (IPF).
Proposed Updates To Securities Lending Market, SEC Chair Gary Gensler, Nov. 18, 2021

Date 18/11/2021

This week, the Commission voted unanimously in support of a proposed rule designed to strengthen the transparency and efficiency of the securities lending market.
SIFMA Statement On Completion Of Quantum Dawn VI Cybersecurity Exercise

Date 18/11/2021

SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, upon completion of SIFMA’s November 18 global industry-wide Quantum Dawn VI cybersecurity exercise. A fact sheet with details on Quantum Dawn VI is available here.
SEC Announces Enforcement Results For FY 2021 - Agency Brought Significant Actions In Traditional And Emerging Areas - Whistleblower Program Surpassed $1 Billion In Awards

Date 18/11/2021

The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. Seventy percent of these new or "stand-alone" actions involved at least one individual defendant or respondent. The new actions spanned the entire securities waterfront, including against emerging threats in the crypto and SPAC spaces. For example, the SEC charged a company for operating an unregistered online digital asset exchange, charged a crypto lending platform and top executives alleging a $2 billion fraud, and brought an action against a special purpose acquisition company, its merger target, top executives, and others for alleged misconduct in a SPAC transaction. The SEC’s whistleblower program was critical to these efforts and had a record-breaking year.
US Federal Agencies Approve Final Rule Requiring Computer-Security Incident Notification

Date 18/11/2021

Federal bank regulatory agencies today announced the approval of a final rule to improve the sharing of information about cyber incidents that may affect the U.S. banking system. The final rule requires a banking organization to notify its primary federal regulator of any significant computer-security incident as soon as possible and no later than 36 hours after the banking organization determines that a cyber incident has occurred. Notification is required for incidents that have materially affected—or are reasonably likely to materially affect—the viability of a banking organization's operations, its ability to deliver banking products and services, or the stability of the financial sector.