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SETL Delivers On Administration Plan And Restructures For Growth

Date 03/05/2019

SETL Ltd, the London-based institutional payment and settlement infrastructure provider using blockchain technology, today announced the completion of its corporate restructuring programme.
ASX Monthly Activity Report - April 2019

Date 03/05/2019

Attached is a copy of the ASX Group Monthly Activity Report for April 2019.
Monetary Authority Of Singapore Extends Term Professorship Programme With National University Of Singapore

Date 03/05/2019

The Monetary Authority of Singapore (MAS) has announced that it will be extending its financial sponsorship of the MAS Term Professorship in Economics and Finance at the National University of Singapore (NUS) for another five years. With this renewal, scholars appointed under the programme may be hosted at the Lee Kuan Yew School of Public Policy (LKYSPP), in addition to the Department of Economics at the NUS Faculty of Arts and Social Sciences, and the NUS Business School. The LKYSPP’s focus on, and expertise in, policy-related issues will complement the objectives of the MAS Term Professorship programme.
New Zealand Financial Markets Authority: Company Convicted For Abuse Of The FSPR

Date 03/05/2019

Morgan DeVere Corporate Finance Limited (Morgan DeVere) has been convicted at the Wellington District Court on two counts of breaching the Financial Services Providers Act 2008 (FSP Act) for falsely claiming it was registered on the Financial Services Providers Register (FSPR). A copy of the judgment can be found here.
NZX Shareholder Metrics April 2019

Date 02/05/2019

Please see attached NZX shareholder metrics for April 2019.

SEC: Adam S. Aderton Named Co-Chief Of The Asset Management Unit

Date 02/05/2019

The Securities and Exchange Commission today announced that Adam S. Aderton has been named Co-Chief of the Division of Enforcement's Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds. He succeeds Anthony Kelly, who left the agency in November 2018.
Federal Reserve System's Community Development Research Conference To Focus On Challenges Faced By The Middle Class

Date 02/05/2019

The Federal Reserve System's Community Development Research Conference, "Renewing the Promise of the Middle Class," will be held May 9-10, 2019, in Washington, D.C. The conference will feature the latest research on challenges faced by low- and moderate-income families when moving into the middle class, as well as threats to the economic security of middle-class households.
Statement By Acting Financial Services Superintendent Linda A. Lacewell Regarding The Court’s Decision To Allow New York State Department of Financial Services’s Lawsuit Against The Office Of The Comptroller Of The Currency To Move Forward

Date 02/05/2019

“Today’s decision by the court is a resounding triumph for consumers and the regulated banking industry not just in New York, but across the nation. The court has recognized the expertise of DFS and other state banking regulators and the significant role we play in regulating nonbank financial services, promoting innovative fintech products, helping to achieve a level playing field for regulated banking institutions, and most importantly, protecting consumers. DFS, which was created in response to the financial crisis, will continue to lead and fill any and all voids that misguided federal policy decisions create.”
FINRA Sanctions AXA Advisors, LLC Approximately $772,000 For Misrepresentations To 401(K) Plan Sponsors And Participants - Restitution Ordered - Firm Ordered To Send Corrective Disclosures To Affected Plan Participants

Date 02/05/2019

FINRA announced today that it has fined AXA Advisors, LLC (AXA) $600,000 and ordered the firm to pay approximately $172,000 in restitution to affected 401(k) retirement plan participants for distributing materials that negligently misrepresented that certain bond funds offered for 401(k) plans were “investment-grade” when, in fact, a substantial portion of the funds’ portfolios consisted of high-yield or junk bonds. As part of the settlement, FINRA also required AXA to send corrective disclosures to all affected plan participants.
CFTC Chairman Giancarlo Releases Letter To Federal Reserve Board Vice Chairman Quarles On Phase Five Implementation

Date 02/05/2019

Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo sent a letter to Federal Reserve Board Vice Chairman Randal K. Quarles concerning “Phase Five” implementation requirements for initial margin on uncleared swaps, scheduled for September 2020.