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Robinhood Markets, Inc. Reports April 2024 Operating Data
Date 15/05/2024
Robinhood Markets, Inc. (“Robinhood”) (NASDAQ: HOOD) today reported select monthly operating data for April 2024:
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Ontario Securities Commission Awards $300,000 To Whistleblower Who Uncovered Complex Misconduct
Date 15/05/2024
The Ontario Securities Commission (OSC) has issued an award of $300,000 to a whistleblower who provided significant and detailed information to the OSC that helped to identify misconduct. The activity of the firm was not consistent with their regulatory obligations and would have been hard to detect by the OSC without the whistleblower coming forward.
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SEC Staff Publishes New Investment Adviser Statistics Report
Date 15/05/2024
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. The new report, which will be updated on an annual basis, is designed to give the public a view into the investment advisory industry, with insights into areas such as business activities, client composition, and the types of funds advised. The report shows trends over time.
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Fostering A Healthy “Tone At The Top” At Audit Firms, Paul Munter, SEC Chief Accountant, May 15, 2024
Date 15/05/2024
Audit firms are private businesses with the same legitimate interest in making a profit that all private businesses have. But audit firms have also been entrusted to be essential gatekeepers in maintaining the integrity of our capital markets. The leaders of audit firms, and the tone that they set, play a central role in ensuring that professionals within audit firms do not sacrifice integrity and professionalism for profit and growth.
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FIA Backs International Effort To Promote "Effective Practices" For Variation Margin
Date 15/05/2024
FIA has responded to a discussion paper released by international standard setters that sets out eight "effective practices" for streamlining variation margin in centrally cleared markets. The discussion paper addresses the need for greater transparency and understanding of margin practices at central counterparties, particularly in light of recent episodes of market volatility triggered by the COVID crisis and Russia's invasion of Ukraine.
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Finansinspektionen: Four Reasons Not To Buy Cryptoassets
Date 15/05/2024
Right now, the media is filled with reporting on cryptoassets, and various investment tips are being shared on social media. Even though regulations for the cryptomarket are under development, it will continue to be very risky for consumers to invest in crypto. We have listed four reasons not to invest in them.
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Apex Group Continues Its Global Operations Transformation With Key Strategic Hire
Date 15/05/2024
Apex Group, the global financial services provider, has appointed a new Global Head of Operational Transformation. Ken Fullerton will lead the Operational Delivery and Improvement team focusing on client-driven technology and business process initiatives and improvements. He will also oversee the Global Service Centres.
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ICE Invests In Product And Pricing Innovation, Introduces Newly Enhanced ICE PPE And Advisory Group
Date 15/05/2024
Intercontinental Exchange , Inc. (NYSE: ICE), a leading global provider of technology and data, today announced investments focused on growing its mortgage secondary market offerings and enhancing the Encompass digital lending platform’s native product and pricing engine. ICE has dedicated resources to driving a robust roadmap of features and improvements for ICE PPE (formerly EPPS) and secondary market innovation, informed by the regular, ongoing input of the elite group of lenders making up the ICE PPE Advisory Group.
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Nasdaq To Enhance Global Market Surveillance Offering With Generative AI
Date 15/05/2024
- Nasdaq to integrate Gen AI feature into its leading market surveillance technology for regulators andmarketplaces globally
- AI functionality will improve overall quality and efficiency of market abuse investigations for our clients,enhancing integrity of the financial system
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The New York Stock Exchange Announces Launch Of The NYSE Tech Council - Comprising Senior Technology Leaders Of NYSE-Listed Companies, Exchange-Led Group Will Focus On Thought Leadership And Best Practices In Technology
Date 15/05/2024
The New York Stock Exchange, part of Intercontinental Exchange, Inc. (NYSE: ICE), a leading global provider of technology and data, today announced the formation of the NYSE Tech Council, a group of senior technology leaders within the NYSE community that will focus on thought leadership and actionable best practices.
