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FTSE - The Inside Story By Mark Makepeace, Founder And Former CEO, FTSE Russell Group - Herbie Skeete

Date 12/11/2020

I have known Mark Makepeace for over 35 years. I was at Reuters and Mark was at the London Stock Exchange (LSE).
Statement On Staff Bulletin Related To Risks Associated With Offshore Omnibus Accounts Transacting In “Penny Stocks” And Other Low-Priced U.S. Securities, SEC Chairman Jay Clayton, Nov. 12, 2020

Date 12/11/2020

Today, the Division of Trading and Markets published a staff bulletin highlighting for broker-dealers various risks to our markets and our investors arising from certain transactions in “penny stocks” and other low-priced securities. In particular, the Commission has found that wrongdoers engage in fraud and other illicit activities involving low-priced securities through omnibus accounts maintained by foreign financial institutions. The staff bulletin reminds broker-dealers of common fact patterns and red flags and discusses their obligations in such circumstances under the Bank Secrecy Act, Rule 17a-8 under the Securities Exchange Act of 1934, Section 5 of the Securities Act of 1933, and FINRA rules.
B3 Announces Results For The Third Quarter Of 2020

Date 12/11/2020

Brasil, Bolsa, Balcão (“B3” or “Company”; ticker: B3SA3) reports today its third quarter 2020 (3Q20) earnings. Total revenues reached R$2,535.5 million, a 48.6% increase over the same period of the previous year (3Q19), while recurring EBITDA totaled R$1,665.7 million, up by 50.1% year-over-year (yoy). The company’s recurring net income1 totaled R$1,143.2 million.
IIROC Response To FSRA's Call For Comment On Financial Professional Title Protection

Date 12/11/2020

As a pan-Canadian self-regulatory organization (SRO), the Investment Industry Regulatory Organization of Canada (IIROC) mission is to protect investors and support healthy capital markets.
New Zealand Financial Markets Authority Monitoring Shows Steady Improvement In Quality Of Listed Company Audits

Date 12/11/2020

The Financial Markets Authority (FMA) today released its Audit Quality Monitoring Report for 2020 . The annual review, part of a three-year monitoring cycle of all licensed auditors, scrutinises selected audit files for listed companies and other entities that report under the Financial Markets Conduct (FMC) Act.

CFTC Swaps Report Update

Date 12/11/2020

CFTC's Weekly Swaps Report has been updated, and is now available.
Mike Willis Named Associate Director In SEC Division Of Economic And Risk Analysis

Date 12/11/2020

The Securities and Exchange Commission today announced that it has named Mike Willis as an Associate Director in the Division of Economic and Risk Analysis (DERA). Mr. Willis will lead DERA’s newly created Office of Data Science and Innovation, which provides the Commission and its staff with expertise on data analytics, risk assessment, and structured disclosure. He will oversee the development of data analytics tools to enhance program data quality and information. Mr. Willis will coordinate with other offices and divisions to address structured machine-readable open data in rulemaking, analytics, dissemination and other areas. He will also oversee data ingestion and work with the SEC’s Chief Data Officer and others within the agency to develop a unified vision of data ingestion, analysis, visualization and use.
RiskFuel Named FIA Innovator Of The Year - Options AI Is The Runner-Up And Wematch Wins The People’s Choice Award

Date 12/11/2020

FIA announced today that RiskFuel has been named the FIA Innovator of the Year. In addition, Options AI was named the runner-up, and Wematch won the inaugural People’s Choice Award.
CalPERS Names Anne Simpson Managing Investment Director Of Board Governance And Sustainability

Date 12/11/2020

CalPERS today announced that Anne Simpson has been selected as managing investment director (MID) of Board Governance and Sustainability, effective immediately.
SIFMA Fixed Income Market Close Recommendations In The U.S., The U.K. And Japan For Thanksgiving Day

Date 12/11/2020

SIFMA confirmed its previous recommendations for the U.S., the U.K., and Japan in observance of the U.S. Thanksgiving Day holiday.