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  • SEC: Former Coinbase Manager And His Brother Agree To Settle Insider Trading Charges Relating To Crypto Asset Securities

    Date 30/05/2023

    The Securities and Exchange Commission today announced that former Coinbase product manager Ishan Wahi and his brother, Nikhil Wahi, agreed to settle charges that they engaged in insider trading through a scheme to trade ahead of multiple announcements regarding at least nine crypto asset securities that would be made available for trading on the Coinbase platform. Ishan and Nikhil Wahi each agreed to be permanently enjoined from violating Section 10(b) of the Securities Exchange Act and Rule 10b-5 and to pay disgorgement of ill-gotten gains, plus prejudgment interest. As is often the case when a criminal court has already ordered defendants to forfeit their ill-gotten gains, the disgorgement and prejudgment interest in the SEC’s case would be deemed satisfied by the orders of forfeiture of the Wahi brothers’ assets in the criminal action, if approved by the court, and the SEC determined not to seek civil penalties in light of the Wahi brothers’ prison sentences.

  • Ontario Securities Commission’s Investor Advisory Panel Releases 2022 Annual Report

    Date 30/05/2023

    The Investor Advisory Panel (the IAP) today released its 2022 Annual Report  summarizing its activities, submissions, consultations and meetings in 2022. 

  • ISDA derivatiViews: Quantifying The Benefits Of Digitization

    Date 30/05/2023

    One of the consistent themes that emerged from ISDA’s 37th Annual General Meeting (AGM) in Chicago this month was the need to realize greater efficiencies through digitization. From derivatives documentation to regulatory reporting and collateral management, speakers concurred on the huge benefits of standardizing documentation and automating key processes. But without actually quantifying those benefits, it can be difficult to make the case for investing in digitization. We’ve sought to address this with new research that provides a rare insight into the true value of the digital approach.

  • Philip Austin To Join SIFMA Advocacy Team

    Date 30/05/2023

    SIFMA today announced Philip (P.J.) Austin will join the Association’s Federal Advocacy team.  As Vice President, P.J. will focus on tax policy and Advocacy and will report to the Executive Vice President, Advocacy, Josh Wilsusen.

  • Joint Financial Services Trade Associations Comment On Debt Ceiling Agreement

    Date 30/05/2023

    The American Bankers Association (ABA), Bank Policy Institute (BPI), Consumer Bankers Association (CBA), Financial Services Forum (FSF), International Swaps and Derivatives Association (ISDA), Investment Company Institute (ICI), Managed Funds Association (MFA) and the Securities Industry and Financial Markets Association (SIFMA), a group of trade associations representing broker dealers, banks, asset managers and related financial institutions of all sizes, today issued the following statement on the agreement to raise the federal debt ceiling: