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SEC Investor Advisory Committee To Examine Use Of Complex Investment Products And Strategies By Self-Directed Investors And Discuss Practical Applications For Enhancing Financial Literacy At December 7 Meeting

Date 30/11/2023

The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 7 at 10:30 a.m. ET. The meeting will be webcast on the SEC website.

SIFMA Submits Comments To Federal Reserve On FBO Resolution Proposal

Date 30/11/2023

SIFMA submitted a letter to Board of Governors of the Federal Reserve System (Federal Reserve) and the Federal Deposit Insurance Corporation (FDIC) on proposed guidance for resolution plan submissions of foreign triennial full filers.

FINRA Fines BofA Securities $24 Million For Treasuries Spoofing And Related Supervisory Failures - Firm Engaged In 717 Instances Of Spoofing Activity

Date 30/11/2023

FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing through two former traders in U.S. Treasury secondary markets and related supervisory failures spanning more than six years.

CFTC Chairman Behnam To Deliver Remarks At The U.S. Cattlemen’s Association 16th Annual Meeting & Cattle Producer’s Forum

Date 30/11/2023

Office Of The Comptroller Of The Currency Issues First And Second Quarter 2024 CRA Evaluation Schedule

Date 30/11/2023

The Office of the Comptroller of the Currency (OCC) today released its schedule of Community Reinvestment Act (CRA) evaluations to be conducted in the first and second quarters of 2024.

CFTC Commissioner Mersinger To Participate In The Energy Council, Global Energy And Environmental Matters Conference

Date 30/11/2023

Quarterly Adjustment Of GPW Benchmark Indices

Date 30/11/2023

GPW Benchmark announces the quarterly adjustment of WIG20, mWIG40, sWIG80 and WIG30 indices portfolios. Changes will come into force after close of business on December 15, 2023.

EBA Reaffirms Its Commitment To Enhance Climate-Related And Broader Sustainability Considerations In The EU Banking Sector

Date 30/11/2023

The European Banking Authority (EBA) published today its environmental statement in the context of the 2023 United Nations Climate Change Conference (COP28). Environment, Social and Governance (ESG) remain one of the EBA’s priorities. The EBA highlighted its effort to integrate sustainability aspects in many areas of its work, including risk management, disclosures, supervisory practices, climate stress testing and the Pillar 1 framework. 

Canadian Securities Regulators Propose Binding Regime For Investment-Related Disputes

Date 30/11/2023

The Canadian Securities Administrators (CSA) today set out a proposed regulatory framework for an independent dispute resolution service whose decisions would be binding.

Euronext Announces The Successful Expansion Of Euronext Clearing As Pan-European Clearing House For Euronext Cash Markets

Date 30/11/2023

• Euronext further builds the backbone of the Capital Markets Union in Europe by delivering one clearing house for cash markets to foster a unified European financial market and ecosystem
• The successful expansion of the clearing offering to Euronext cash markets, completed on schedule in November 2023, delivers significant synergies
  • This major step paves the way for European expansion of the clearing offering to Euronext’s financial and commodity derivatives, confirmed for Q3 2024, and positions Euronext across the entire trading value chain to create value for clients