News Centre

CFTC’s Energy And Environmental Markets Advisory Committee Announces Agenda For February 28 Meeting

Date 22/02/2023

CFTC Commissioner Summer K. Mersinger, sponsor of the Energy and Environmental Markets Advisory Committee (EEMAC), today released the agenda for its public meeting on Tuesday, February 28 from 9:30 a.m. to 3:00 p.m. (CT) in Nashville, Tennessee at the Nashville Public Library. Members of the public may also attend the meeting virtually and in person, if space permits. See the detailed agenda here. 

Intercontinental Exchange Chief Financial Officer Warren Gardiner To Present At The Raymond James 44th Annual Institutional Investors Conference On March 6

Date 22/02/2023

Intercontinental Exchange, Inc. (NYSE:ICE), a leading global provider of data, technology, and market infrastructure, announced today that Warren Gardiner, ICE’s Chief Financial Officer, will present at the Raymond James 44^th Annual Institutional Investors Conference. The presentation will take place on Monday, March 6 at 11:00 am EST. The presentation will be available live and in replay via webcast and can be accessed in the investor section of ICE’s website at http://ir.theice.com/.

Parliamentary Joint Committee On Corporations And Financial Services: Opening Statement - 23 February 2023 - Speech By ASIC Chair Joe Longo At The Parliamentary Joint Committee On Corporations And Financial Services Hearing, Thursday 23 February 2023

Date 22/02/2023

I am pleased to appear before the Committee today. I am joined today by Deputy Chairs Sarah Court and Karen Chester, Commissioner Danielle Press, Chief Operating Officer Warren Day and our General Counsel Chris Savundra. Also here today for questioning relating to CHESS are Executive Director of Markets, Greg Yanco and Senior Executive Leader of Market Infrastructure Nathan Bourne.

NZX Maintains Solid Earnings Through Market Cycles

Date 22/02/2023

• Group operating earnings of $36.6 million (excluding acquisition and integration costs) up 2.3% yearon-year; $35.1 million (including acquisition and integration costs) up 1.9%, for year ending 31 December 2022
• Despite the step back in market activity in 2022, the NZX Group revenues were up 8.8% to $95.7 million for the full year, reflecting the strength of NZX’s strategy and earnings base. Smartshares and Wealth Technologies continue to provide a platform for future growth
• Net profit after tax for the year (NPAT) was $14.2 million, compared with $15 million the previous year. This includes increased amortisation costs from the continued investment in the NZX Wealth Technologies platform and the acquired ASB Superannuation Master Trust
• FY2023 operating earnings guidance range is $36.0 million to $40.5 million

CFTC Charges Unregistered Commodity Trading Advisor With Fraud, Misappropriation, And Unregistered Commodity Pool Operator With Misappropriation

Date 22/02/2023

The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the District of Minnesota against Richard “Rick” Miller and his company, Flip 2 Futures Trading Company LLC (F2F) of Otsego, Minnesota, charging Miller and F2F with fraud, misappropriation, and unregistered activity related to trading on behalf of a commodity pool run by Justin Dendinger and Punch Drunk Marketing LLC (PDM) of Somerset, Wisconsin.

Statement On The Final Rule On Extending Form 144 EDGAR Filing Hours And Celebrating The EDGAR System On Its 30th Anniversary, Commissioner Mark T. Uyeda, Feb. 22, 2023

Date 22/02/2023

Yesterday, the Commission adopted amendments to Regulation S-T to extend the deadline, from 5:30 p.m. to 10:00 p.m. Eastern Time, for when a Form 144 is deemed filed on the date of submission. This extension is a sensible change that eases the stress and burden on sellers (and their brokers, counsels, and other professionals), who must file Form 144 on the same day as placing their order to sell stock. Sometimes, this need to file is not known until near the close of trading at 4:30 p.m. Eastern Time.

Minutes Of The Federal Open Market Committee, January 31–February 1, 2023

Date 22/02/2023

The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on January 31–February 1, 2023.

Canadian Securities Regulators Strengthen Oversight, Enhance Expectations Of Crypto Asset Trading Platforms Operating In Canada

Date 22/02/2023

Further to its update on December 12, 2022, the Canadian Securities Administrators (CSA) today published a notice describing enhanced investor protection commitments it expects from crypto asset trading platforms (CTPs) operating in Canada.

SEC Charges African Gold Acquisition Corp. With Internal Controls, Reporting, And Recordkeeping Failures - Control Failures Enabled Former CFO To Misappropriate Approximately $1.2 Million From The SPAC’s Operating Bank Account

Date 22/02/2023

The Securities and Exchange Commission today announced settled charges against African Gold Acquisition Corp., a publicly traded special purpose acquisition company (SPAC), for internal controls, reporting, and recordkeeping violations. These failures enabled African Gold’s former chief financial officer to misappropriate approximately $1.2 million from the company’s operating bank account. As a result, African Gold made materially false filings with the Commission and maintained inaccurate books and records. 

Bank Of England: Court Minutes From 2020 That Were Previously Redacted

Date 22/02/2023

The Bank's Court of Directors acts as a unitary board, setting the organisation's strategy and budget and taking key decisions on resourcing and appointments. Required to meet a minimum seven times per year, it has five executive members from the Bank and up to nine non-executive members.