News Centre

SEC Issues Notice of Substituted Compliance Application And Proposed Substituted Compliance Order For United Kingdom And Reopens Comment Period For Notice And Proposed Substituted Compliance Order For France

Date 05/04/2021

The Securities and Exchange Commission voted to take two actions to continue to advance implementation of security-based swap regulation under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The Commission is publishing a notice of application and proposed substituted compliance order in response to an application from the United Kingdom’s Financial Conduct Authority (FCA).  In addition, the Commission is re-opening the comment period on the notice of application and proposed substituted compliance order in relation to the application by France’s Autorité des Marchés Financiers (AMF) and Autorité de Contrôle Prudentiel et de Résolution (ACPR).

Readout: US Secretary Of The Treasury Janet L. Yellen’s Call With Chilean Minister Of Finance Rodrigo Andrés Cerda Norambuena

Date 05/04/2021

Earlier today, Secretary of the Treasury Janet L. Yellen spoke with Chile’s Finance Minister Rodrigo Andrés Cerda Norambuena. Secretary Yellen emphasized her desire to build on strong U.S.-Chilean relations for continued cooperation in the region. She also outlined the Biden-Harris Administration priorities, including responding effectively to the COVID-19 pandemic, supporting a robust economic recovery, fighting inequality, and forcefully addressing the threat of climate change. Secretary Yellen conveyed her appreciation for Chile’s leadership on multilateral efforts to address climate change and economic development, and looked forward to further engagement in these areas.

SEC: Auditor Charged For Failure To Register With PCAOB And Multiple Audit Failures

Date 05/04/2021

The Securities and Exchange Commission today announced the institution of administrative proceedings against a Texas-based CPA for allegedly failing to register his firm with the Public Company Accounting Oversight Board (PCAOB) and alleged wholesale failures in auditing and reviewing the financial statements of a public company client.

Moscow Exchange: Risk Parameters Change On Securities Market - Update

Date 05/04/2021

CCP NCC changes PcH_max parameter value that defines price up limit on Securities market starting from April 6, 2021:

Socure To Provide Identity Verification For - Microsoft Azure Active Directory Verifiable Credentials

Date 05/04/2021

Socure, a leader in 100% digital identity trust, today announced the company will provide identity verification services for remote onboarding for individuals accessing decentralized IDs as part of the new Microsoft Azure Active Directory (Azure AD) verifiable credentials feature in public preview today. Once verified, these credentials can be used to prove an identity across different organizations to accelerate onboarding of users and enable a more trustworthy credential recovery experience. 

Intergovernmental Group Of Twenty-Four On International Monetary Affairs And Development - Chaired By Abdolnaser Hemmati, Governor Of The Central Bank Of The Islamic Republic Of Iran

Date 05/04/2021

The global economy is showing signs of recovering from the COVID-19 crisis. The path to broad-based and inclusive recovery is nevertheless fraught with uncertainty about the availability and access to safe and affordable vaccines for all and the strength of external financial support to developing countries. The pandemic has strained the health systems and severely hit the economies of developing countries, which have had limited policy space to respond. Millions of people have fallen into extreme poverty, and food insecurity has risen starkly especially in the poorest countries and those living in fragile and conflict-affected situations. Our urgent priorities are to contain the pandemic, for which scaling up vaccinations will be crucial, and rebuild our economies to avoid a lost decade of development and a major decline in people’s well-being.

SEC Promotes Investor Awareness During National Financial Capability Month

Date 05/04/2021

The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) is embracing National Financial Capability Month as an opportunity to encourage all investors, especially first-timers or those relatively new to investing, to take the time to visit Investor.gov and utilize an array of resources to help them get acclimated.

Remarks By US Secretary Of The Treasury Janet L. Yellen On International Priorities To The Chicago Council On Global Affairs

Date 05/04/2021

America is strongest when we engage with the world.

When I was born, the United States was still recovering from the Great Depression and World War II.  These tragedies cost countless lives; too many families lost nearly everything.  But from the devastation we learned an invaluable lesson: the United States must not go it alone.

Moscow Exchange: Risk Parameters Change On Securities Market

Date 05/04/2021

CCP NCC will change level 3 market risk rate on Securities market for the following bonds starting from April 12, 2021.

OCC March 2021 Total Volume Up 34.8 Percent From A Year Ago - Highest Total Volume Month On Record For U.S. Equity Options And End Of Highest Quarter In OCC History

Date 05/04/2021

OCC, the world's largest equity derivatives clearing organization, announced today that March 2021 total cleared contract volume was 904,039,629 contracts, the highest volume month on record and up 34.8 percent compared to March 2020. March also marks the end of the highest quarter by contract volume in OCC’s history. Year-to-date average daily cleared contract volume through March was 42,231,809 contracts, up 48.7 percent compared to March 2020.