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  • SEC Proposes Amendments To Enhance Disclosure Of Order Execution Information

    Date 14/12/2022

    The Securities and Exchange Commission today proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks, which are stocks listed on a national securities exchange. Rule 605 was adopted in 2000 and provides visibility into execution quality at different market centers. It has not been substantively updated since it was adopted.

  • CFTC Commissioner Johnson To Speak To The New York City Bar Association

    Date 14/12/2022

    WHAT:

    Commissioner Kristin N. Johnson will speak to members of the New York City Bar Association Futures and Derivatives Committee.

    WHEN:

    Thursday, December 15, 2022

    6:30 p.m. (EDT)

    WHERE:

     

     

    Clifford Chance
    31 W 52nd St
    New York, NY 10019

  • BIS: Suptech In Insurance Supervision

    Date 14/12/2022

    Given the importance of the role of supervisory technology (suptech) in the "new normal", insurance supervisors see the need to clearly understand the potential of suptech to aid their work. 

  • SEC Adopts Amendments To Modernize Rule 10b5-1 Insider Trading Plans And Related Disclosures

    Date 14/12/2022

    The Securities and Exchange Commission today adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure requirements to enhance investor protections against insider trading. The amendments include updates to Rule 10b5-1(c)(1), which provides an affirmative defense to insider trading liability under Section 10(b) and Rule 10b-5. Collectively, the final rules aim to strengthen investor protections concerning insider trading and to help shareholders understand when and how insiders are trading in securities for which they may at times have material nonpublic information.

  • BIS: Basel Committee Evaluation Shows That The Implemented Basel III Reforms Contributed To Increase Bank Resilience

    Date 14/12/2022

    • New report provides the Committee's first holistic evaluation of the impact and efficacy of the implemented Basel III reforms.
    • Report indicates that the implemented reforms are an important driver of the overall increase in bank resilience and shows that market-based measures of systemic risk have also improved.
    • Report finds no considerable evidence of negative side effects of the reforms on banks' lending and capital costs, nor does it identify redundancy among elements of the reforms, while acknowledging greater regulatory complexity.