News Centre

Statement On Chief Economist S.P. Kothari Concluding His Tenure At SEC By Acting SEC Chairman Elad L. Roisman

Date 15/01/2021

My sincere thanks go to Dr. S.P. Kothari for his incredible work as Chief Economist of the SEC. Under Dr. Kothari’s leadership, the agency’s Division of Economic and Risk Analysis provided invaluable economic analysis to the Commission and its staff on rulemakings, examinations, and enforcement matters. Dr. Kothari also played a key role in the Commission’s efforts to monitor the markets for the unfolding effects of Covid-19 and related government responses. I will truly miss Dr. Kothari’s uncommonly broad perspective on global economic issues, his deep expertise in so many aspects of our markets, and his talent for thoughtfully and candidly explaining all this practical insight to the rest of us.

Nigerian Stock Exchange Weekly Market Report For January 15th 2021

Date 15/01/2021

A total turnover of 3.447 billion shares worth N32.725 billion in 30,327 deals were traded this week by investors on the floor of the Exchange, in contrast to a total of 3.394 billion shares valued at N19.867 billion that exchanged hands last week in 26,808 deals.

Update Of Finansinspektionen’s Company Register

Date 15/01/2021

Due to the United Kingdom’s withdrawal from the European Union, financial actors’ right to conduct cross-border operations in or from the United Kingdom that are based on European Union law was repealed on 1 January 2021.

ThinkMarkets Enables 24/7 Crypto CFD Trading - The Award-Winning Globally Regulated Brokerage Marks A New Milestone For Cryptocurrency Traders Worldwide

Date 15/01/2021

Leading multi-asset brokerage company ThinkMarkets is expanding it’s product offering for cryptocurrency traders. The broker is extending trading hours for its cryptocurrency line of trading products. Starting from 00:00 GMT on January the 16th, the firm will be offering CFD trading of Bitcoin, Ethereum, Bitcoin Cash and Litecoin on a 24/7 basis.

Statement On SEC General Counsel Bob Stebbins Concluding His Tenur By Acting SEC Chairman Elad L. Roisman

Date 15/01/2021

Since I arrived at the SEC, Bob Stebbins has made himself available to discuss any question I might have relating to the agency’s mission, rulemaking agenda, or operational structure. He has led our Office of the General Counsel in advising on almost everything this agency does. He and the dedicated and expert lawyers in the General Counsel’s office have been instrumental in our rulemaking and policy decisions and have ensured that we have followed the law and furthered our mission. Bob has brought not only sound legal advice to the issues we confront, but also a healthy dose of common sense. My sincere thanks go to him, and his talent, dedication, good nature, and wise counsel will be missed.

Utopia Foundation Announces Plans To Bring More Than $1 Billion Worth Of Tokenized Music Rights To Polkadot

Date 15/01/2021

What's Happening from Start-Up To Small Cap: SEC's Small Business Advocate To Host Capital Call Feb. 4

Date 15/01/2021

The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation will host its second annual Capital Call on Feb. 4, 2020, at 1 p.m. ET, where the office will talk about what’s happening with capital raising from startup to small cap. The Capital Call is styled after public companies' earnings release calls and will include discussion and an opportunity to ask questions about the office's recent Annual Report to Congress and the Commission. During the virtual event, office staff members will discuss what has been happening with capital raising across the country, including a spotlight on the impacts of the COVID-19 pandemic, the unique challenges faced by underrepresented businesses, the office's work in supporting small businesses and their investors, and the policy recommendations the office has developed in response.

ESMA: Links To The National Websites Explaining The Procedures For Notifications Of Net Short Positions

Date 15/01/2021

For the implementation of the requirements to notify competent authorities and to publicly disclose net short positions under Regulation (EU) No 236/2012 on Short Selling and certain aspects of credit default swaps, ESMA provides the links to the websites of the Member States where the information about the national notifying procedures and the forms to use are made available.

UK Financial Conduct Authority Publishes Defined Benefit Advice Assessment Tool

Date 15/01/2021

The FCA Defined Benefit Advice Assessment Tool (DBAAT) helps the market understand how we assess the suitability of Defined Benefit (DB) pension transfer advice.

Tier1 Acquires Compliance And Financial Crime Prevention Software Solution, Alessa - The Acquisition Expands Tier1’s Portfolio Of Digital Transformation Solutions To Optimize Client Engagement, Increase Operational Efficiency And Reduce Regulatory Compliance Risk, And Is In Conjunction With President Jiro Okochi’s Promotion To CEO Of Tier1.

Date 15/01/2021

Tier1 Financial Solutions, a leading provider of client relationship management (“CRM”) solutions, has acquired Alessa, a compliance and financial crime prevention solution. The acquisition positions Tier1 to significantly grow its portfolio of solutions to meet its ambitious goal to digitally transform processes within organizations for greater client insights, revenue protection, regulatory compliance and AI-driven automation. Terms of the transaction were not disclosed.