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ASIC: Report On Competition In The Australian Funds Management Industry Released

Date 24/09/2021

ASIC has today released a report on the state of competition in Australia’s funds management industry.
NZX Issue Of Ordinary Shares

Date 23/09/2021

The attached capital change notice is given under NZX Listing Rule 3.13.1 and relates to the issue of ordinary shares in NZX Limited (NZX) under the NZX Dividend Reinvestment Plan.
SEC Issues Agenda For Sept. 27 Meeting Of The Asset Management Advisory Committee

Date 23/09/2021

The Securities and Exchange Commission today released the agenda for the Sept. 27 meeting of the Asset Management Advisory Committee (AMAC).
FINRA Names Sarah Gill As Ombudsman, Cindy Foster As VP Of MAP Program

Date 23/09/2021

FINRA today announced the appointment of Sarah Gill as Ombudsman and Cindy Foster as Vice President of the Membership Application Program (MAP) and Statutory Disqualification.
SEC Charges Principals Of Subprime Automobile Finance Company With Fraud

Date 23/09/2021

The Securities and Exchange Commission today announced fraud charges against two former executives of a subprime automobile finance company for misleading investors about the subprime automobile loans that backed its $100 million offering.

Canadian Securities Regulators Outline Expectations For Advertising And Marketing By Crypto Trading Platform

Date 23/09/2021

The Canadian Securities Administrators (CSA) and Investment Industry Regulatory Organization of Canada (IIROC) today published guidance to help crypto trading platforms understand and comply with requirements under securities law and IIROC rules for advertising, marketing and social media use.
Moscow Exchange: Risk Parameters Change For The Security CRM-RM

Date 23/09/2021

As per the Securities market risk parameters methodology, on 23.09.2021, 21-27 (MSK) the upper bound of the price band (up to 21347) and initial margins (up to 21.25 %) for the security CRM-RM were changed. New values are available here
Umbrella Network Announces Strategic Acquisition Of Lucidity, Leading Blockchain-Based Advertising And Analytics Platform

Date 23/09/2021

Umbrella Network (https://www.umb.network/), the decentralized Layer-2 oracle solution, announced today the acquisition of Lucidity, a leading blockchain-based digital advertising oracle. The acquisition was completed in August 2021 for an undisclosed amount. This deal will be accretive to Umbrella Network as early as Q1 2022. At the time of this transaction, Lucidity had processed over 600 million transactions, with significant transaction growth anticipated this year. With Lucidity's integration, the Umbrella Network will now be the highest transaction volume oracle in the world, achieved through its unique design that allows the aggregation of data.
SEC Charges U.K.-Based Father And Son, And Two Others In Transatlantic Microcap Fraud Scheme

Date 23/09/2021

The Securities and Exchange Commission today filed two complaints in the United States District Court for the Eastern District of New York charging four individuals and five entities for their roles in an allegedly fraudulent microcap scheme that generated more than $10 million in unlawful stock sales. The SEC also is seeking an order to freeze the assets of seven of the defendants and one relief defendant.
SEC Charges Firm And Two Principals In First-Ever Actions Enforcing Rule On Duties Of Municipal Advisors

Date 23/09/2021

The Securities and Exchange Commission today charged a Texas- and Colorado-based municipal advisor, Choice Advisors LLC, and its two principals, Matthias O'Meara and Paula Permenter, with violating their duties, engaging in unregistered municipal advisory activities, and related misconduct with respect to Choice's charter school clients. The actions are the first-ever SEC cases enforcing Municipal Securities Rulemaking Board Rule G-42 on the duties of non-solicitor municipal advisors.