FTSE Mondo Visione Exchanges Index:
News Centre
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Office Hours With Gary Gensler: Systemic Risk In Artificial Intelligence, SEC Chair Gary Gensler, Washington D.C., Sept. 19, 2024
Date 19/09/2024
What might Scarlett Johansson and romcoms teach us about artificial intelligence and systemic risk in our capital markets?
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FinCEN Publishes Beneficial Ownership Reporting Outreach And Education Toolkit
Date 19/09/2024
The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has issued another resource to familiarize small business owners with beneficial ownership reporting requirements. These reporting requirements are mandated by the Corporate Transparency Act, a bipartisan law enacted to curb illicit finance by supporting law enforcement efforts. This law requires many small businesses to report basic information to the Federal government about the real people who ultimately own or control them.
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Hello And Farewell, But Not Goodbye: Remarks At The Meeting Of The SEC Investor Advisory Committee, SEC Commissioner Hester M. Peirce, Washington D.C., Sept. 19, 2024
Date 19/09/2024
Thank you, Brian [Schorr]. And good morning and welcome to all of you, especially our six newest IAC members. Our new class of members brings a wonderfully eclectic mix of skills and experiences. Thank you for putting them at the disposal of the Investor Advisory Committee.
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US Office Of The Comptroller Of The Currency Announces Enforcement Actions For September 2024
Date 19/09/2024
The Office of the Comptroller of the Currency (OCC) today released enforcement actions taken against national banks and federal savings associations (banks), and individuals currently and formerly affiliated with banks the OCC supervises.
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Canadian Investment Regulatory Organization Releases 2023 – 2024 Annual Report And Inaugural Investor Advisory Panel Annual Report - Highlight Significant Achievements And Strategic Objectives In CIRO’s Second Year
Date 19/09/2024
The Canadian Investment Regulatory Organization (CIRO) has released its Annual Report for 2023-2024, alongside the inaugural Investor Advisory Panel (IAP) Annual Report, marking a year of substantial progress and strategic initiatives.
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Prepared Remarks Before The Investor Advisory Committee, SEC Chair Gary Gensler, Washington D.C., Sept. 19, 2024
Date 19/09/2024
Good morning. I am pleased to speak with the Investor Advisory Committee. As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff.
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SEC Charges Advisory Firm Macquarie Investment Management Business Trust With Fraud - Firm To Pay Nearly $80 Million In Connection With Overvaluing Assets And Engaging In Unlawful Cross Trades
Date 19/09/2024
The Securities and Exchange Commission today announced registered investment adviser Macquarie Investment Management Business Trust (MIMBT) will pay a total of $79.8 million to settle charges for overvaluing approximately 4,900 largely illiquid collateralized mortgage obligations (CMOs) held in 20 advisory accounts, including 11 retail mutual funds, and for executing hundreds of cross trades between advisory clients that favored certain clients over others.
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Canadian Securities Administrators Propose Amendments To Modernize Continuous Disclosure Regime For Investment Funds
Date 19/09/2024
The Canadian Securities Administrators (CSA) have published for comment a series of proposed amendments aimed at modernizing the continuous disclosure regime for investment funds. These proposals are designed to provide investors with more focused and valuable disclosure while reducing the regulatory burden on investment fund managers.
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ISDA Publishes Results Of DC Review Consultation
Date 19/09/2024
ISDA has published the results of a market-wide consultation on proposed changes to the structure and governance of the Credit Derivatives Determinations Committees (DCs).
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Canadian Securities Regulators Propose Amendments To Mandatory Central Counterparty Clearing Of Derivatives
Date 19/09/2024
The Canadian Securities Administrators (CSA) today published a CSA Notice of Consultation on proposed amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives.
