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Nasdaq January 2021 Volumes

Date 02/02/2021

Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for January 2021, on its investor relations website.
Readout: US Secretary Of The Treasury Janet L. Yellen’s Call With Mexican Finance Minister, Arturo Herrera Gutiérrez

Date 02/02/2021

Earlier today, Secretary of the Treasury Janet L. Yellen spoke with Mexican Finance Minister Arturo Herrera Gutiérrez. Secretary Yellen expressed her desire to continue the tradition of close U.S.-Mexico coordination on economic and security issues. She also outlined her priorities, including responding effectively to the COVID-19 pandemic, supporting a robust economic recovery, fighting inequality, and forcefully addressing the threat of climate change. The Secretary noted that Mexico can be a strong partner in accomplishing these priorities, and looked forward to further engagement on shared interests, including combatting illicit finance, and facilitating economic development in Central America.
SEC Charges Former Executives Of San Francisco Bay Area Company With Accounting Violations

Date 02/02/2021

The Securities and Exchange Commission today charged Joseph Jackson and Colm Callan, respectively the former CEO and CFO of WageWorks Inc. with making false and misleading statements and omissions, including to the company’s auditors, that resulted in the company’s improper recognition of revenue related to a contract with a large public-sector client. The settlements with both individuals include reimbursement of certain incentive-based compensation from the period during which the misconduct took place.
CFTC Financial Data For Futures Commission Merchants Update

Date 02/02/2021

Futures commission merchants (FCMs) and retail foreign exchange dealers (RFEDs) must file monthly financial reports with the CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO) within 17 business days after the end of the month. Selected financial information from these reports is published below. The most recent month-end information generally is added within 12 business days after FCMs and RFEDs file their reports, but occasionally may be added later. For example: The 17th business day filing “due date" for February 28, 2015 financial reports was March 25, 2015. The 12 business day target for posting these data was April 10, 2015.
Corrected: ISDA Responds To European Commission Consultation On The Review Of CSDR

Date 02/02/2021

On February 2, ISDA, FIA and the FIA European Principal Traders Association (EPTA) submitted a joint response to the European Commission’s (EC) consultation on the settlement discipline regime under the Central Securities Depositories Regulation (CSDR). In the response, the associations outline concerns about detrimental effects arising from the application of the CSDR mandatory buy-in regime for the derivatives markets. The associations also request the EC and co-legislators clarify that the mandatory buy-in requirements of the CSDR settlement discipline regime do not apply in the context of margin transfers, physically settled derivatives and emission allowances.

SIFMA Issues New MSRB Rule G-17 Model Risk Disclosure Documents For Additional Products

Date 02/02/2021

SIFMA today announced it has made new additions to its set of G-17 Model Risk Disclosure Documents to help municipal securities underwriters comply with the recently amended requirements for disclosure to municipal issuers set forth by the revised interpretive guidance to Municipal Securities Rulemaking Board (MSRB) Rule G-17.
Readout: US Secretary Of The Treasury Janet L. Yellen’s Call With World Bank President, David Malpass

Date 02/02/2021

Earlier today, Secretary of the Treasury Janet L. Yellen spoke with World Bank President David Malpass. During the call, they stressed the need for close coordination on efforts to respond to the health and economic impacts of the COVID-19 pandemic, improve vaccine access for the poorest countries, and combat climate change. Secretary Yellen emphasized that climate change is an existential threat to our environment and global economy and urged robust support to low-income countries. The Secretary highlighted the need to work closely to help countries reduce debt vulnerabilities and improve debt sustainability and transparency. She noted her appreciation for the World Bank’s efforts in these areas.
Autorité Des Marchés financiers Designates Equifax Canada And Trans Union Of Canada As Credit Assessment Agents

Date 02/02/2021

In accordance with the Credit Assessment Agents Act the “Act”), which came into force on February 1, 2021, the Autorité des marchés financiers (the “AMF”) has designated Equifax Canada and Trans Union of Canada as credit assessment agents.
EACH Publishes Its Response To European Commission CSDR Review Consultation

Date 02/02/2021

The European Association of CCP Clearing Houses (EACH) is today publishing its response to the European Commission ‘Targeted consultation on the review of the Regulation on improving securities settlement in the European Union and on central securities depositories’ CCPs are directly concerned by CSD Regulation (CSDR) mainly through its settlement discipline regime.
Siepe Achieves SOC 2, Type II Certification

Date 02/02/2021

Siepe, a trusted provider of technology, data and analytics, has achieved Service Organization Control (“SOC 2”), Type II certification. The SOC 2 report demonstrates Siepe’s ability to meet the industry’s standards for security, availability, confidentiality and privacy.