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Application For Quotation Of Securities - ASX
Date 18/03/2025
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New Zealand Financial Markets Authority Files Criminal Charges Against David McEwen
Date 18/03/2025
The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has filed criminal charges against former financial adviser David McEwen, for failing to comply with an FMA stop order, due to concerns he is still contacting potential investors.
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Statement By Federal Reserve Governor Bowman
Date 18/03/2025
I would like to express my thanks to President Trump for nominating me as the Vice Chair for Supervision. I am grateful for the continued faith and confidence he has placed in me to fulfill this vital role.
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US Office Of The Comptroller Of The Currency Conditionally Approves Fintech Business Model For A National Bank
Date 17/03/2025
The Office of the Comptroller of the Currency (OCC) today announced conditional approval of the application for financial technology (fintech) company SmartBiz Loans to change the business model of CenTrust Bank, N.A., Northbrook, Illinois, upon its acquisition of CenTrust Bank, N.A.
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SEC Charges New Jersey Investment Adviser And His Firm With Fraud And Other Violations - Defendants Disregarded Their 2021 Settlement And Continued Their Fraud Unabated, Causing $1.6 Million In Harm To Their Fund And The Fund’s Retail Investors
Date 17/03/2025
The Securities and Exchange Commission today announced that it has filed charges against David Yow Shang Chiueh of East Hanover, New Jersey and his investment advisory firm, Upright Financial Corp., for misconduct and for investing more than 25 percent of Upright Growth Fund’s assets in a single company over multiple years, causing losses of $1.6 million.
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CFTC Swaps Report Update
Date 17/03/2025
CFTC's Weekly Swaps Report has been updated, and is now available: http://www.cftc.gov/MarketReports/SwapsReports/index.htm.
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Jessica Barker To Join SIFMA Advocacy Team
Date 17/03/2025
SIFMA today announced Jessica Barker will join the Association’s Federal Advocacy team. As vice president, Jessica will focus on tax policy and Advocacy and will report to the executive vice president, advocacy, Josh Wilsusen.
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Remarks To The Investment Company Institute’s 2025 Investment Management Conference, Mark T. Uyeda, SEC Acting Chairman, San Diego, CA, March 17, 2025
Date 17/03/2025
I. Introduction
Thank you, Paul [Cellupica], for the thoughtful introduction and I appreciate the invitation to address the ICI’s 2025 Investment Management Conference. First, I’d like to congratulate Dorothy Donohue on her well-earned retirement. Dorothy has had an impressive career spanning both public and private service, with a deep knowledge of the fund industry and its legal framework. I have worked with her on many issues over the years. She will be missed, and I wish her well on her next chapter.
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Notice Of Election Released For CalPERS Board Election
Date 17/03/2025
The California Public Employees’ Retirement System (CalPERS) has issued its official Notice of Election for the upcoming election of two members of the CalPERS Board of Administration.
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ISDA Launches New Report Setting Out The Uses And Value Of Derivatives
Date 17/03/2025
ISDA has published a new report that explores how and why different types of firms use derivatives, the value these instruments bring to their business and the benefits to the broader economy.
