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New Zealand Financial Markets Authority Finalises Regulatory Return Questionnaire For Licensed Financial Advice Providers

Date 15/02/2023

Following consultation on the proposed standard licence conditions for all classes of Financial Advice Providers (FAPs), the Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko - today confirmed the information FAPs must provide in their regulatory returns. This information will set the focus for FMA’s risk-based monitoring approach and is necessary to effectively supervise full FAP licence holders, in line with licence Standard Condition 3.
ASIC To Expand Enforcement Focus Areas In The Coming Year

Date 15/02/2023

ASIC has warned businesses it will be targeting greenwashing, predatory lending and misleading insurance pricing promises this year, as part of a continuing focus on protecting consumers from financial harm.
ASX: Change Of Company Secretary

Date 15/02/2023

ASX advises that Lucy Barnett has resigned as a Company Secretary of ASX Limited effective 17 February 2023.
New Zealand Financial Markets Authority Issues Interim Stop Order To Validus And Its Associated Persons

Date 15/02/2023

The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has today issued an Interim Stop Order (Order) to Validus International LLC (registered in Delaware, USA) pursuant to section 465 of the Financial Markets Conduct Act 2013 (the Act).
CFTC Open Commission Meeting Cancelled For February 15

Date 15/02/2023

The Commodity Futures Trading Commission Open Meeting scheduled for Wednesday, February 15, 2023 has been cancelled. The matters under consideration are being handled through the Commission’s seriatim process.

Cboe Australia Announces Planned Retirement Of CEO Vic Jokovic, Appoints Emma Quinn As Successor

Date 14/02/2023

Cboe Australia (“Cboe Australia”) today announced the planned retirement of Cboe Australia CEO Vic Jokovic, effective March 31, 2023. Industry veteran Emma Quinn has been appointed as his successor and will assume the position of President, Cboe Australia, as of March 27, 2023. Mr. Jokovic will remain in an advisory role to help ensure a seamless leadership transition and will also continue in his current board roles with Cboe Australia and other members of the Cboe group.
Lael Brainard Submits Resignation As Vice Chair And A Member Of The Federal Reserve Board, Effective On Or Around February 20, 2023

Date 14/02/2023

Lael Brainard submitted her resignation February 14, 2023 as Vice Chair and a member of the Federal Reserve Board, effective on or around February 20, 2023. She has been a member of the Board since June 16, 2014, and Vice Chair of the Board since May 23, 2022.
SIFMA, SIFMA AMG Submit Comments On Swing Pricing And Open-End Fund Liquidity Risk Management Programs

Date 14/02/2023

SIFMA and SIFMA Asset Management Group (SIFMA AMG) today filed comment letters expressing strong concern with the Securities and Exchange Commission’s (the Commission) proposals to make certain revisions to liquidity risk management programs and to require swing pricing for open-end mutual funds. SIFMA submitted a comment letter on behalf of mutual fund intermediary members with respect to the proposed swing pricing and hard close. SIFMA AMG submitted two comments letters – one addressing the swing pricing and hard close aspects of the proposal, and a separate letter on liquidity risk management programs and related disclosures.
SEC Proposes Revision To Privacy Act Rule

Date 14/02/2023

The Securities and Exchange Commission today proposed a rule that would revise the Commission’s regulations under the Privacy Act. The Privacy Act is the principal law governing the handling of personal information in the federal government. The current rules provide procedures for making Privacy Act requests, including requests for access to and amendment of records pertaining to the individual making the request. The revisions will clarify, update, and streamline the language of several procedural provisions.
Bahamas International Securities Exchange Chief Operating Officer Speaks To International School Of Business Entrepreneurship And Technology Bahamas Grade 12 Personal Finance Class

Date 14/02/2023

The Bahamas International Securities Exchange (BISX) spent the afternoon of Monday 30 January 2023 with the 12th Grade Personal Finance class of the International School of Business Entrepreneurship and Technology (“ISBET”). Speaking to the students was BISX Chief Operating Officer, Mr. Holland Grant. Mr. Grant spoke about BISX and gave insight into the operations of the Exchange. He also elaborated on items from the student’s Personal Finance curriculum, and tied in stock exchange principles to their curriculum.