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Statement On The Renaming Of The Office Of Compliance Inspections And Examinations To The Division Of Examinations - SEC Chairman Jay Clayton, Commissioner Hester M. Peirce, Commissioner Elad L. Roisman, Commissioner Allison Herren Lee, Commissioner Caroline A. Crenshaw

Date 17/12/2020

This year marks 25 years since the creation of the SEC’s Office of Compliance Inspections and Examinations (OCIE). Since its inception, OCIE has grown – in both number (over 1,000) and percentage (23%) of SEC employees – to represent the second largest office or division at the SEC, second in size only to the Division of Enforcement. In that time, OCIE has greatly increased the effectiveness of the Commission’s compliance and examination function. OCIE’s presence and engagement has promoted a strong culture of compliance within the financial services industry. To better reflect these important contributions and its overall role at the Commission, starting today, OCIE will be renamed the “Division of Examinations” (the Division). The SEC’s five Commissioners unanimously support this decision.
MIAX: Approved FINRA Rule Change To Amend FINRA Rules To Reflect Name Changes To Two FINRA Departments: The Office Of Dispute Resolution And The Department Of Registration And Disclosure

Date 17/12/2020

Please refer to the following for details regarding the approved rule change to amend FINRA rules to reflect name changes to two FINRA departments: (1) The Office of Dispute Resolution and (2) the Department of Registration and Disclosure.
Cboe Global Markets Announces Election Of Ivan Fong And Alexander J. Matturri, Jr. To Board Of Directors

Date 17/12/2020

Cboe Global Markets, Inc. (Cboe: CBOE), a market operator and global trading solutions provider, today announced its Board of Directors elected Ivan Fong, Senior Vice President, General Counsel and Secretary of 3M Company, and Alexander J. Matturri, Jr. former Chief Executive Officer of S&P Dow Jones Indices LLC, as new members to its Board of Directors.
CFTC Staff Extends Temporary No-Action Relief From The Trade Execution Requirement For Certain Affiliated Counterparties

Date 17/12/2020

The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) today extended previously issued no-action relief from the trade execution requirement for certain inter-affiliate transactions.
Federal Reserve Announces Members Of Its Community Depository Institutions Advisory Council For 2021

Date 17/12/2020

The Federal Reserve Board on Thursday, December 17 announced the members of its Community Depository Institutions Advisory Council (CDIAC) and the president of the council for 2021.

New York Attorney General Letitia James Sues To End Google’s Illegal Monopolies - AG James Helps Lead Bipartisan Coalition Of 38 AGs Alleging Google Illegally Maintained Monopolies, Created Insurmountable Barriers To Entry For Competitors

Date 17/12/2020

New York Attorney General Letitia James today continued her work fighting for New York’s consumers and small businesses by co-leading a bipartisan coalition of 38 attorneys general in suing Google LLC for its illegal, anticompetitive conduct that has sought to maintain its monopoly power in the general search services and search advertising markets. Through a series of exclusionary contracts and other anticompetitive conduct, Google has deprived consumers of competition that could lead to greater choice and innovation, as well as better privacy protections. Attorney General James and the coalition also accuse Google of exploiting its market position to accumulate and leverage data to the detriment of consumers, all in an effort to control the market and make billions in profits.
Statement By European Commission President von der Leyen After Her Phone Call With UK Prime Minister Johnson

Date 17/12/2020

This evening I took stock with UK Prime Minister Boris Johnson of the on-going negotiations for a comprehensive Partnership Agreement between the European Union and the United Kingdom.
EU-UK Relations: European Parliament Approves Temporary Rules To Keep Eurotunnel Working

Date 17/12/2020

MEPs adopted temporary measures to keep the tunnel railway connection between continental Europe and the UK running after the end of the transition period.
Autorité Des Marchés Financiers Adjusts Its Annual And Other Fees

Date 17/12/2020

As of January 1, 2021, the annual and other fees payable under the laws administered by the Autorité des marchés financiers (the “AMF”) will be adjusted.
Brexit: Withdrawal Agreement To Be Fully Operational On 1 January 2021

Date 17/12/2020

The EU-UK Joint Committee met virtually today to endorse all formal decisions and other practical solutions related to the implementation of the Withdrawal Agreement, as of 1 January 2021. It follows an agreement in principle reached by the Joint Committee co-chairs – European Commission Vice-President Maroš Šefčovič and the UK Chancellor of the Duchy of Lancaster, Michael Gove – on Tuesday, 8 December 2020.