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SEC Requests Information And Comment On Broker-Dealer And Investment Adviser Digital Engagement Practices, Related Tools And Methods, And Regulatory Considerations And Potential Approaches; Information And Comments On Investment Adviser Use Of Technology

Date 27/08/2021

The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers. These tools include behavioral prompts, differential marketing, game-like features (commonly referred to as gamification), and other design elements or features designed to engage with retail investors on digital platforms (e.g., websites, portals, and applications), as well as the analytical and technological tools and methods (collectively called digital engagement practices (DEPs)).
Nigerian Exchange Weekly Market Report For August 27th, 2021

Date 27/08/2021

A total turnover of 1.026 billion shares worth N8.183 billion in 18,102 deals were traded this week by investors on the floor of the Exchange, in contrast to a total of 866.544 million shares valued at N12.257 billion that exchanged hands last week in 17,291 deals
Statement On Request For Information And Comments On Broker-Dealer And Investment Adviser Digital Engagement Practices, Related Tools And Methods, And Regulatory Considerations And Potential Approaches, SEC Chair Gary Gensler, Aug. 27, 2021

Date 27/08/2021

Today, the Commission published a request for public comment on the use of new and emerging technologies by financial industry firms.
ETFGI Reports Record Assets And Net Inflows In Active ETFs World-Wide Of US$404 Billion And US$88 Billion Respectively At The End Of July 2021

Date 27/08/2021

ETFGI, a leading independent research and consultancy firm covering trends in the global ETFs and ETPs ecosystem, reports record assets and net inflows in Active ETFs world-wide of US$404 billion and US$88 billion respectively at the end of July. Actively managed ETFs and ETPs gathered net inflows of US$6.00 billion during July, bringing year-to-date net inflows to a record US$88.23 billion. Assets invested in Active ETFs and ETPs finished the month up to 0.7%, from US$401 billion at the end of June to US$404 billion, according to ETFGI's July 2021 Active ETF and ETP industry landscape insights report, the monthly report which is part of an annual paid-for research subscription service. (All dollar values in USD unless otherwise noted.)
Readout: Secretary Of The Treasury Janet L. Yellen’s Call With Mexican Finance Secretary Rogelio Ramírez de la O

Date 27/08/2021

Yesterday, Secretary of the Treasury Janet L. Yellen had her first call with Mexican Finance Secretary Rogelio Ramírez de la O. Secretary Yellen congratulated Ramírez de la O on his appointment and expressed a strong desire to maintain a close relationship. Secretary Yellen reaffirmed Treasury’s commitment to deepen cooperation with Mexico on illicit finance. She welcomed Mexico’s support for critical G20 initiatives, including a global minimum tax, and encouraged economic policy commitments that will combat climate change while accomplishing inclusive growth.

US Federal Agencies Issue Guide To Help Community Banks Evaluate Fintech Relationships

Date 27/08/2021

The federal bank regulatory agencies today released a guide intended to help community banks assess risks when considering relationships with financial technology (fintech) companies.
Federal Court Orders Ohio Resident And Multi-Million Dollar Ponzi Scheme Fraudster Permanently Banned From Trading And Registering With The CFTC

Date 27/08/2021

The Commodity Futures Trading Commission announced today that Judge Michael R. Barrett, of the U.S. District Court for the Southern District of Ohio entered a Consent Order for Permanent Injunction and Other Equitable Relief against Glen Galemmo finding, among other things, that Galemmo fraudulently solicited individuals to place funds in a commodity pool to trade commodity futures, commodities, stocks and bonds and misappropriated millions of dollars. The order imposes on Galemmo permanent trading and registration bans.
finexics.io: BaFin Launches Investigation Into The Company Slinqo Group LTD

Date 27/08/2021

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin informs the public that Slinqo Group LTD, Nicosia, Cyprus, has not been granted authorisation under the KWG to conduct banking business or provide financial services. The company is not supervised by BaFin. Based on the content of the company’s website finexics.io, there are grounds which indicate that Slinqo Group LTD conducts banking business and provides financial services in the Federal Republic of Germany without the required authorisation.
Joint Statement Of The Multilateral Leaders Taskforce On Scaling COVID-19 Tools: A Crisis Of Vaccine Inequity

Date 27/08/2021

At its third meeting, the Multilateral Leaders Taskforce on COVID-19 (MLT)—the heads of the International Monetary Fund, World Bank Group, World Health Organization and World Trade Organization—met with the leaders of the African Vaccine Acquisition Trust (AVAT), Africa CDC, Gavi and UNICEF to tackle obstacles to rapidly scale-up vaccines in low- and lower middle-income countries, particularly in Africa, and issued the following statement:
quantummarket.net: BaFin Launches Investigation Into The Company QuantumMarket LTD

Date 27/08/2021

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin informs the public that QuantumMarket LTD, Roseau, Dominica, has not been granted authorisation under the KWG to conduct banking business or provide financial services. The company is not supervised by BaFin. Based on the content of the company’s website quantummarket.net, there are grounds which indicate that QuantumMarket LTD conducts banking business and provides financial services in the Federal Republic of Germany without the required authorisation.