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ASIC – RBA Issue Joint Letter Of Expectations To ASX

Date 30/08/2023

Today, ASIC and the RBA (the Regulators) issued a joint letter outlining regulatory expectations of ASX Clear Pty Limited (ASX Clear) and ASX Settlement Pty Limited (ASX Settlement) when engaging with the newly established ASX Cash Equities Clearing and Settlement Advisory Group (Advisory Group).
SEBA Hong Kong Awarded Approval-In-Principle By Hong Kong Regulator To Conduct Licensed Crypto Related-Services - SEBA (Hong Kong) Limited (SEBA Hong Kong) Is Set To Become The First Licensed Corporation In Hong Kong With Crypto Capabilities Backed By A Swiss Crypto Bank, SEBA Bank AG (SEBA Bank), Providing It With The Platform To Operate Regulated Activities In Virtual Assets.

Date 30/08/2023

SEBA Bank, a full-service, global crypto bank providing financial solutions for the digital age (wealth management, investment, trading, and advisory services), has today announced that an approval-in-principle (AIP) from the Securities and Futures Commission (SFC) in Hong Kong has been issued to its regional subsidiary, SEBA Hong Kong.
IPC And Celoxica Join Forces To Provide Connectivity And Risk Management To Taiwanese Market - Powers Ultra-Low Latency Market Connectivity And Pre-Trade Risk Management For Global Investment Bank

Date 30/08/2023

IPC is pleased to announce an industry collaboration that brings together Celoxica’s Market Access Gateway with IPC’s Connexus platform to deliver a hosted, fully managed colocation solution to a Tier 1 Investment Bank in Taiwan, for enhanced Direct Market Access (DMA) and pre-trade risk management.
Nasdaq Announces CFO Transition

Date 29/08/2023

Nasdaq, Inc. (Nasdaq: NDAQ) today announced the appointment of Sarah Youngwood as Executive Vice President and Chief Financial Officer, effective December 1, 2023. Youngwood will succeed Ann Dennison, who has held the role since 2021 and will remain at the company until the end of the year to ensure an orderly transition.
SEC Charges Citigroup Global Markets Inc. With Recordkeeping Failures Concerning Underwriting Expenses

Date 29/08/2023

The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. (CGMI) for willfully violating recordkeeping requirements concerning expenses that the firm incurred in connection with its underwriting business.

US Acting Comptroller Of The Currency Issues Statements At FDIC Board Meeting On Proposals To Improve Financial Stability And The Resolvability Of Large Banks

Date 29/08/2023

Acting Comptroller of the Currency Michael J. Hsu today issued statements at the Federal Deposit Insurance Corporation Board Meeting in support of proposed rulemakings to improve financial stability and the resolvability of large banks.
US Federal Agencies Request Comment On Proposed Rule To Require Large Banks To Maintain Long-Term Debt To Improve Financial Stability And Resolution

Date 29/08/2023

Federal bank regulatory agencies today requested comment on a proposal that would require large banks with total assets of $100 billion or more to maintain a layer of long-term debt, which would improve financial stability by increasing the resolvability and resiliency of such institutions.
US Federal Agencies Propose Guidance To Enhance Resolution Planning At Large Banks

Date 29/08/2023

The Federal Deposit Insurance Corporation and Federal Reserve Board today invited public comment on proposed guidance to help certain large bank holding companies further develop their Dodd-Frank Act Title I resolution plans.
Dissenting Statement Of CFTC Commissioner Caroline D. Pham On Examination By Enforcement

Date 29/08/2023

I respectfully dissent from the order and settlement in the administrative proceeding In re Goldman Sachs & Co. LLC, because I believe that this enforcement action is fundamentally unfair, unjust, and does not best serve the public interest. Based on my review of the record, I believe that this enforcement action is wrong—we are not doing the right thing here on vendor issues arising out of the unprecedented move to remote work because of the COVID-19 pandemic, and I cannot support it.
Statement Of CFTC Commissioner Kristin N. Johnson Regarding Effectively Calibrating CFTC Civil Money Penalties To Deter Repeated Compliance Failures

Date 29/08/2023

Today the Commodity Futures Trading Commission (the Commission or CFTC) announced and resolved charges against Goldman Sachs & Co. LLC (Goldman) for (i) failing to create and keep audio recordings related to its business as a swap dealer, as required under the Commodity Exchange Act (CEA) and existing CFTC regulations, and (ii) thus, violating a 2019 Commission cease-and-desist order for the same failure under the same statutory and regulatory provisions.