News Centre

Statement On The Fall 2023 Regulatory Agenda, SEC Chair Gary Gensler, Dec. 6, 2023

Date 06/12/2023

Today, the Office of Information and Regulatory Affairs released the Fall 2023 Unified Agenda of Regulatory and Deregulatory Actions, which includes contributions related to the Securities and Exchange Commission and short- and long-term regulatory actions that administrative agencies plan to take.

US Office Of The Comptroller Of The Currency Issues Guidance On ‘Buy Now, Pay Later’ Lending

Date 06/12/2023

The Office of the Comptroller of the Currency (OCC) today issued guidance to national banks and federal savings associations to address the risks associated with “buy now, pay later” lending.

FINRA Orders Four Firms To Pay $2.6 Million For Violations Relating To Fully Paid Securities Lending - Includes Over $1 Million In Restitution To Impacted Customers

Date 06/12/2023

FINRA announced today that it has sanctioned four firms—M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc.—a combined $2.6 million, including over $1 million in restitution to retail customers enrolled in fully paid securities lending programs and fines of $1.6 million for the firms’ related supervisory and advertising violations.

CCData Exchange Review: Crypto Spot & Derivatives Volumes Reach Highest Level Since March 

Date 06/12/2023

In November, the combined spot and derivatives trading volume on centralised exchanges rose for the second consecutive month, rising 40.7% to $3.61tn, recording the highest combined monthly trading volumes since March 2023.

TMX Group Consolidated Trading Statistics - November 2023

Date 06/12/2023

TMX Group Limited today announced November 2023 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange (Alpha), including Alpha-X and Alpha DRK, and Montréal Exchange (MX).

Euronext Announces December 2023 Quarterly Review Results Of The BEL® Family Indices

Date 06/12/2023

Euronext today announced the results of the December 2023 quarterly review for the BEL 20®, BEL Mid®, BEL Small® and BEL® ESG, which will take place after markets close on Friday 15 December 2023 and be effective from Monday 18 December 2023.

Scammers Looking To Exploit Financial Stress At Christmas, UK Financial Conduct Authority Warns

Date 06/12/2023

The FCA is warning of the risk of loan fee fraud as almost two-thirds of parents feel pressured to spend above their means at Christmas.

Euronext Announces December 2023 Quarterly Review Results Of The PSI®

Date 06/12/2023

Euronext today announced the results of the quarterly review for the PSI®, which will take place after markets close on Friday 15 December 2023, and be effective from Monday 18 December 2023.

Fiserv Announces Plan For Executive Leadership Changes

Date 06/12/2023

• Jenn LaClair Named Head of Global Business Solutions
• Rick Singh Named Enterprise Growth Officer

DTCC: With 2024 In Sight, Geopolitical Risk & Inflation Dominate As Top Risks To The Financial Services Industry

Date 06/12/2023

DTCC, the premier post-trade market infrastructure for the global financial services industry, today issued its annual Systemic Risk Barometer Survey results, which identified Geopolitical Risks, Inflation, U.S. Political Uncertainty / 2024 U.S. Presidential Election and Cyber Risk as the most significant threats to the financial services industry in the upcoming year.