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  • Japan Exchange Group Notice Regarding Media Reports

    Date 23/10/2024

    It has been reported by some media outlets today that the Securities and Exchange Surveillance Commission is investigating an employee of Tokyo Stock Exchange, Inc., a subsidiary of Japan Exchange Group, Inc., on suspicion of insider trading. We can confirm that an employee of Tokyo Stock Exchange is currently under investigation by the Securities and Exchange Surveillance Commission, and JPX Group will continue to make every effort in cooperating with this investigation. We would like to offer our sincere apologies for the inconvenience and concern this will cause among our listed companies and other related parties. Any future updates that require publication will be published promptly as they become clear.

  • New Zealand Financial Markets Authority Publishes First Insights Report Into Discretionary Investment Management Services Sector

    Date 23/10/2024

    Te Mana Tātai Hokohoko – today published its first monitoring report of the Discretionary Investment Management Services (DIMS) sector. The report found that while DIMS providers strive for positive investor outcomes, there is room for improvement in their processes and controls.

  • NZX Market Maker Eligibility Rule Changes

    Date 23/10/2024

    Earlier this year, NZX consulted on changes to its existing eligibility and ongoing requirements for market makers across both its cash and derivatives markets.

  • CFTC To Hold A Commission Open Meeting October 29

    Date 22/10/2024

    Commodity Futures Trading Commission Chairman Rostin Behnam today announced the Commission will hold an open meeting Tuesday, Oct. 29 at 10:00 a.m. – 4:30 p.m. (EDT) at the CFTC’s Washington, D.C. headquarters. Members of the public can attend the meeting in person, listen by phone, or view a live stream at CFTC.gov.

  • Statement Regarding Administrative Proceedings Against SolarWinds Customers, SEC Commissioner Hester M. Peirce, SEC Commissioner Mark T. Uyeda/ Oct. 22, 2024

    Date 22/10/2024

    According to the Government Accountability Office, the 2019-2020 cyberattacks against SolarWinds Corporation (“SolarWinds”) and its Orion software were “one of the most widespread and sophisticated hacking campaigns ever conducted against the federal government and the private sector.”[1] It was an attack against America.[2] How has the Commission responded? By first charging SolarWinds in district court[3] and, in today’s settled proceedings,[4] charging four customers of its Orion software, with violations of the federal securities laws. Today’s proceedings impose nearly $7 million in penalties against these victims of the cyberattacks.