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NGX Builds Capital Market Capacity On Finance Act

Date 26/10/2022

As part of its commitment to building the capacity of stakeholders in the capital market, Nigerian Exchange Limited (NGX or The Exchange) organised a webinar on the impact of the 2021 Finance Act on the operating environment.
Statement On Proposed Amendments Regarding Service Providers Oversight, SEC Chair Gary Gensler, Oct. 26, 2022

Date 26/10/2022

Today, the Commission is considering whether to adopt proposals regarding investment advisers’ use of third-party service providers. I think that these rules, if adopted, would better protect investors by requiring that investment advisers take steps to continue to meet their fiduciary and other legal obligations regardless of whether they are providing services in-house or through outsourcing, whether through third parties or affiliates.
Statement On Final Rule Amendments Regarding Shareholder Reports, SEC Chair Gary Gensler, Oct. 26, 2022

Date 26/10/2022

Today, the Commission is considering whether to adopt final rule amendments that update and modernize funds’ shareholder reports and make certain other updates regarding how funds advertise to investors. I am pleased to support these final rules because, if adopted, they would help investors better understand fund disclosures and help ensure that the information investors receive in investment company advertisements is transparent and balanced.
Statement On Final Rules Regarding Clawbacks Of Erroneously Awarded Compensation, SEC Chair Gary Gensler, Oct. 26, 2022

Date 26/10/2022

Today, the Commission is considering adopting final rules mandated by the Dodd-Frank Act regarding clawbacks of erroneously awarded incentive-based compensation. I believe that these rules, if adopted, would strengthen the transparency and quality of corporate financial statements, investor confidence in those statements, and the accountability of corporate executives to investors.
Canadian Securities Regulators Publish Investor Education In Canada 2022 Activity Report - Report Highlights Investor Education Initiatives Intended To Help Canadians Make Informed Financial Decisions

Date 26/10/2022

The Canadian Securities Administrators (CSA) today published Investor Education in Canada 2022 to mark Investor Education Month in October. This annual report highlights the national, provincial and territorial efforts in investor education from June 2021 to July 2022.

Nadex Product Schedule For The Japan Holiday On November 3, 2022

Date 26/10/2022

Due to the Japan holiday on Thursday, November 3, no Japan 225 contracts will be listed on that day.
SEC Adopts Amendments To Modernize Fund Shareholder Reports And Promote Transparent Fee- And Expense-Related Information In Fund Advertisements

Date 26/10/2022

The Securities and Exchange Commission voted today to adopt rule and form amendments to require mutual funds and exchange-traded funds to transmit concise and visually engaging shareholder reports and to promote transparent and balanced presentations of fees and expenses in investment company advertisements.
One Good Step, More To Go: Statement On Final Tailored Shareholder Reports For Mutual Funds And Exchange-Traded Funds; Fee Information In Investment Company Advertisements, SEC Commissioner Hester M. Peirce. Oct. 26, 2022

Date 26/10/2022

Thank you, Chair Gensler. This shareholder report rulemaking represents a worthwhile next step in the Commission’s ongoing effort to improve the quality and usability of mutual fund disclosure. I have questions and reservations about many of the choices we have made and believe the step forward could have been bigger. Nevertheless, the good here outweighs the bad, so I support this rulemaking.
Erroneous Clawbacking: Statement At Open Meeting To Consider Listing Standards For Recovery Of Erroneously Awarded Compensation, SEC Commissioner Hester M. Peirce Oct. 26, 2022

Date 26/10/2022

What we are doing today—implementing the statutory clawbacks mandate—is commendable. But how we are doing it—expansively, inflexibly, and impractically—is not. Accordingly, I cannot vote to adopt this rule.
SEC Adopts Compensation Recovery Listing Standards And Disclosure Rules

Date 26/10/2022

The Securities and Exchange Commission today adopted rules to require securities exchanges to adopt listing standards that require issuers to develop and implement a policy providing for the recovery of erroneously awarded incentive-based compensation received by current or former executive officers. The final rules require a listed issuer to file the policy as an exhibit to its annual report and to include disclosures related to its recovery policy and recovery analysis where a recovery is triggered. The Commission proposed compensation recovery rules in 2015 and reopened the comment period on the proposal in October 2021 and again in June 2022.