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Japan Financial Services Agency: Appointment For The Chair Of FSB SRC - Transition Plan Working Group (TPWG)

Date 28/09/2023

Satoshi IKEDA, Deputy Commissioner for International Affairs and Chief Sustainable Finance Officer at Japan's Financial Services Agency, was appointed by the Financial Stability Board (FSB) Plenary on September 18, 2023, as the Chair of the Transition Plan Working Group (TPWG), a newly established working group under the Standing Committee on Supervisory and Regulatory Cooperation (SRC). He has a two-year term.
New Zealand Financial Markets Authority: Catalist Market Operator Obligations Review

Date 28/09/2023

Catalist Markets Limited (Catalist) is licensed under section 316 of the Financial Markets Conduct Act 2013 (FMC Act) to operate Catalist Public Market.
ASIC Remakes Sunsetting Legislative Instruments On Takeovers, Compulsory Acquisitions And Relevant Interests

Date 28/09/2023

ASIC has remade seven legislative instruments relating to takeovers, compulsory acquisitions and relevant interests. These instruments were due to automatically repeal and cease operation (‘sunset’) on 1 October 2023 if not remade.
New Zealand And UK Audit Authorities Agree Mutual Recognition Of Audit Qualifications

Date 28/09/2023

New Zealand and the UK have signed a first of its kind agreement to recognise audit qualifications in both the UK and NZ so that auditors can more easily work between both countries.
Panel Remarks, Federal Reserve Governor Michelle W. Bowman, At The 2023 Symposium On Indigenous Inclusion, The Central Bank Network For Indigenous Inclusion And The Reserve Bank Of New Zealand—Te Pūtea Matua, Auckland, New Zealand

Date 27/09/2023

Governor Bowman was asked to make remarks responding to two questions. Below are the questions and her responses.

SEC Charges Three Southern California Siblings With Insider Trading

Date 27/09/2023

The Securities and Exchange Commission today filed charges against siblings Marco A. Perez (aka Marc), Pedro Perez, Jr. (aka Peter), and Olivia P. Durbin for insider trading before the April 2021 announcement of an offer by storage company United Rentals Inc. to acquire General Finance Corp. The three defendants, all of whom reside in Southern California, realized a combined total of $650,000 in illegal profits from their trading.
SEC Appoints George Botic To The Public Company Accounting Oversight Board

Date 27/09/2023

The Securities and Exchange Commission today announced the appointment of George Botic, CPA to a term as a Board Member of the Public Company Accounting Oversight Board (PCAOB).
Remarks To The Small Business Capital Formation Advisory Committee, SEC Commissioner Mark T. Uyeda, Washington D.C., Sept. 19, 2023

Date 27/09/2023

Good afternoon. As this is the second meeting for the new members of this committee, I hope that you are settling into your roles. I have some thoughts for your consideration as you formulate recommendations to the Commission during your tenure on this committee.
CFTC: Miami Federal Court Enters Preliminary Injunction Order Against Certified Public Accountant In Connection With $58 Million Foreign Currency Fraud And Misappropriation Scheme

Date 27/09/2023

The Commodity Futures Trading Commission today announced the Honorable Darrin P. Gayles of the U.S. District Court for the Southern District of Florida entered a preliminary injunction order against Timothy F. Stubbs on September 22. The court’s decision stems from the CFTC’s January 27, 2022 complaint charging Stubbs, together with four other individuals and five companies, with fraud, misappropriation, and registration violations in connection with a fraudulent foreign currency (forex) scheme. [See CFTC Press Release No. 8486-22]
Statement Of CFTC Commissioner Kristin N. Johnson: Increase Investor Protection By Stopping Bitcoin Investment Fund Fraud

Date 27/09/2023

Today the CFTC announced that it filed a complaint in the Southern District of Florida against Sean Michael and his company Mosaic Exchange Ltd. The complaint alleges that the Defendants solicited and successfully convinced investors to send their bitcoin and other funds to Mosaic under the guise that Mosaic would enter into futures, swaps, and leveraged spot transactions in cryptocurrency on behalf of the investors. The entire scheme was a sham, a virtual house of cards. According to the complaint, Defendants falsely represented their experience, track record, and profitability trading digital asset derivatives, falsely claimed that Mosaic was a digital asset trading platform, and falsely touted their use of a proprietary trading algorithm. Based on these (mis)representations, customers entrusted the Defendants with hundreds of thousands of dollars. All too quickly, these unsuspecting investors discovered that their hard-earned wealth had evaporated alongside their trust in Defendants’ representations.