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Date 25/04/2024
SEC Small Business Advisory Committee To Discuss Regulation Crowdfunding And The State Of Angel Investing
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and activity and trends in angel investing. Members of the public can watch the live meeting via webcast on www.sec.gov.
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Date 25/04/2024
US Acting Comptroller Of The Currency Issues Statement On The FDIC’s Proposals Related To Change In Bank Control Act
Acting Comptroller of the Currency Michael J. Hsu today issued the following statement at the Federal Deposit Insurance Corporation’s (FDIC) board meeting concerning the FDIC memorandum and resolution for proposals related to Change in Bank Control Act:
I want to thank Directors Chopra and McKernan for these proposals. They shine much needed light on the evolving nature of bank ownership, control, and corporate governance.
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Date 25/04/2024
SIFMA AMG Statement On FDIC Postponing Rule Proposals On “Control”
SIFMA’s Asset Management Group (SIFMA AMG) today issued the following statement from Lindsey Keljo, managing director and head of the AMG, related to the postponement of rule proposals from the FDIC on asset managers regarding “control”:
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Date 25/04/2024
Federal Court Orders California-Based Precious Metals Company, CEO, Senior Salesperson To Pay Over $56 Million For Fraud In Connection With Precious Metals Sales
The Commodity Futures Trading Commission today announced Judge R. Gary Klausner of the U.S. District Court for the Central District of California entered a consent order against Red Rock Secured, LLC (Red Rock), Sean L. Kelly f/k/a Shade L. Kelly-Johnson (Kelly), and Anthony “Tony” Spencer (Spencer) on April 23. The order finds the defendants liable for making fraudulent misrepresentations to customers and rendering unlawful investment advice in connection with the purchase and sale of precious metals.
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Date 25/04/2024
Canadian Securities Administrators Publishes Research On Impact Of Client Relationship Model Amendments On Industry And Investor Behaviour
The Canadian Securities Administrators (CSA) today published two research reports that examined the investment fund industry and investor behaviour following the implementation of the Client Relationship Model Phase 2 (CRM2) Amendments.
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Date 25/04/2024
CFTC Chairman Behnam To Participate In A Fireside Chat At The 27th Annual Milken Institute Global Conference
WHAT:
Chairman Rostin Behnam will participate in a Fireside Chat at the 27th Annual Milken Institute Global Conference.
WHEN:
Monday, May 6, 2024
11:30 a.m. – 11:50 a.m. (PT)
2:30 p.m. – 2:50 p.m. (ET)WHERE:
The Beverly Hilton
9876 Wilshire Boulevard
Beverly Hills, CA 90210
Additional information: Milken Institute Global Conference 2024: Shaping a Shared Future -
Date 25/04/2024
Interactive Brokers Announces Extended Trading Hours For US Treasury Bonds - Clients Can Trade 22x5 To React Rapidly To Global Market News And Economic Events
Interactive Brokers (Nasdaq: IBKR), an automated global electronic broker, today announced a significant expansion of trading hours for US Treasury bonds on its platform. Clients around the world can now trade US Treasury bonds for 22 hours each day. The trading session closes daily at 5:00 pm Eastern Time (ET), reopens at 8:00 pm Eastern Daylight Time (EDT) and continues until 5:00 pm the following day. During Eastern Standard Time (EST), the market operates from 7:00 pm to 5:00 pm. This is a significant extension from the previous nine hours per day.
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Date 25/04/2024
B.C. Securities Commission Issues Notice To Reinforce Expectations For Investor Relations Disclosure
The B.C. Securities Commission (BCSC) issued a BC Notice today to raise awareness of a 2023 Commission decision about promotional disclosure, and how it must be presented to comply with the law.
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Date 25/04/2024
Broadridge Global Class Action Expands To Canada And UK
As class action cases dramatically increase globally in volume and complexity, Broadridge is expanding its Global Class Action footprint by adding key stakeholders in Canada and the UK on its Class Action Broker Dealer and Custody Services teams, respectively.
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Date 25/04/2024
The EBA Observes An Increase Of High Earners In The EU In 2022
The European Banking Authority (EBA) published today its Report on high earners for 2022. The analysis reveals an increase of the number of individuals working for EU banks and investment firms who have received a remuneration of more than EUR 1 million. This increase is linked to the overall good performance of institutions, expansion of business and salaries adjusted for inflation.