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New York Attorney General Letitia James And Multistate Coalition Secure $6.5 Million From Morgan Stanley For Failing To Protect Customer Data - Morgan Stanley To Pay New York $1.6 Million For Compromising The Personal Information Of 1.1 Million New Yorkers

Date 16/11/2023

New York Attorney General Letitia James and a coalition of five attorneys general today reached a $6.5 million agreement with global financial services firm Morgan Stanley Smith Barney LLC (Morgan Stanley) for compromising the personal information of millions of customers nationwide. Morgan Stanley failed to decommission its computers and erase unencrypted data in certain computer devices that were later auctioned while still containing consumers’ personal information, including data belonging to 1.1 million New Yorkers. New York will receive $1,658,047 from today’s settlement and Morgan Stanley will be required to strengthen its data security measures.
Treasury International Capital Data For September

Date 16/11/2023

The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for September 2023. The next release, which will report on data for October 2023, is scheduled for December 19, 2023.
Keynote Of CFTC Chairman Rostin Behnam At The 2023 U.S. Treasury Market Conference, “Not Flashy, But Foundational”

Date 16/11/2023

Good afternoon. It is a pleasure to join you today at the Federal Reserve Bank of New York.
Readout: US Deputy Secretary Of The Treasury Wally Adeyemo’s Meeting With State Secretary For International Finance Daniela Stoffel Of Switzerland

Date 16/11/2023

Today, Deputy Secretary of the Treasury Wally Adeyemo met with Switzerland’s State Secretary for International Finance Daniela Stoffel. Deputy Secretary Adeyemo and State Secretary Stoffel exchanged views on global economic issues and areas of bilateral collaboration. Deputy Secretary Adeyemo discussed how allies and partners can best support Ukraine. Deputy Secretary Adeyemo thanked State Secretary Stoffel for Switzerland’s close cooperation on actions to hold Russia accountable for its illegal invasion of Ukraine.
High Stakes: Comments On The Adoption Of A Rule Related To Clearing Agency Governance And Conflicts Of Interest, SEC Commissioner Hester M. Peirce, Nov. 16, 2023

Date 16/11/2023

Clearing agencies play a critical role in our markets. Therefore, sound regulation of clearing agencies should be a priority for the Commission. The approach embodied in the final rule, however, micromanages clearing agency governance in a way that is likely to divert board attention from key issues by focusing it instead on an amorphous set of stakeholders. Accordingly, I dissent.

Nadex Self-Certifies LINK Cryptocurrency Touch Bracket Contracts

Date 16/11/2023

Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.2(a) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”), Nadex self-certified the terms and conditions for its new LINK Cryptocurrency Touch Bracket Contracts. These contracts will be listed on or after trade date November 20, 2023.
Remarks Of CFTC Commissioner Christy Goldsmith Romero: Financial Stability Is Foundational For Consumer Protection, Consumer Federation Of America’s Financial Services Conference, Washington, DC

Date 16/11/2023

Thank you to the Consumer Federation of America. It’s an honor to speak at your Financial Services Conference. You are an important voice in Washington, a leader advocating for sensible financial regulation for consumers. I’m proud to join you in advancing consumer protection.
Statement On Final Rules Regarding Clearing Agency Governance, SEC Chair Gary Gensler, Nov. 16, 2023

Date 16/11/2023

Today, the Commission adopted final rules relating to the governance and use of outside service providers by clearinghouses. I am pleased to support this adoption because it helps foster more resilient clearinghouses.
Statement On Clearing Agency Governance And Conflicts Of Interest, SEC Commissioner Mark T. Uyeda, Nov. 16, 2023

Date 16/11/2023

The Commission has adopted a new rule under the Securities Exchange Act of 1934 to establish governance standards for registered clearing agencies. The rule also requires registered clearing agencies to take specified measures to mitigate or eliminate conflicts of interest. Clearing agencies play a central role in the securities markets and – unlike other entities registered with the Commission, such as broker-dealers and investment advisers – are not easily substitutable. Given the broad general support for the rule in the public comments and because the Commission has incorporated various recommendations submitted by commenters, I voted in favor of the final rule.
SEC Adopts Rules To Improve Clearing Agency Governance And Mitigate Conflicts Of Interest

Date 16/11/2023

The Securities and Exchange Commission has adopted new rules to improve the governance of all registered clearing agencies by reducing the likelihood that conflicts of interest may influence their boards of directors or equivalent governing bodies.