All industry news

Credit Suisse Entities to pay US$10 Million for providing prohibited mutual fund services

14 December 2023 US
Reporter: Jack McRae

The SEC has announced that Credit Suisse Securities and two affiliated Credit Suisse entities have agreed to pay more than US$10 million to settle the SEC’s charges that they provided prohibited underwriting and advising services to mutual funds

ESMA releases EU CCP supervision review

13 December 2023 France
Reporter: Lucy Carter

The report measures the effectiveness of NCAs’ supervision of CCPs’ due diligence and review process of clearing members, in line with requirements outlined in EMIR

Ward and Ferraz join GBAM

12 December 2023 UK
Reporter: Lucy Carter

GBAM consists of asset management firms that offer a limited range of products, have “a close relationship with clients and a relatively flat organisational structure”, the group explains

Tradeweb enters next phase of partnership with BlackRock

11 December 2023 US
Reporter: Carmella Haswell

Announced in December 2022, the partnership allows the integration of Tradeweb’s credit trading solutions and data into BlackRock’s Aladdin OEMS

BoE, FCA and PRA issue joint resiliency proposal

08 December 2023 UK
Reporter: Lucy Carter

The authorities aim to reduce the responsibilities placed on individual firms and FMI entities around operational resilience and third-party risk management through direct regulatory oversight of critical third parties

State Street rolls out Proxymity Vote Connect in new markets

08 December 2023 UK
Reporter: Lucy Carter

The product allows issuers to directly publish golden source meeting announcements to investors and intermediaries, improving the speed and accuracy of reporting

Northern Trust releases whitepaper on Dutch pension system transition

07 December 2023 Netherlands
Reporter: Lucy Carter

The Dutch pension scheme is migrating from a (partially contingent) defined benefit framework to a collective defined contribution format

Taipei Fubon Bank commits to CLSNet

07 December 2023 Taiwan
Reporter: Jack McRae

Taipei Fubon Bank has committed to using CLSNet, becoming the first Taiwanese bank to do so

Nebraska Investment Council selects Northern Trust as custodian for pension funds

07 December 2023 US
Reporter: Jack McRae

Northern Trust has been selected as the custodian of the NIC pension funds

DSB form of governance advisory committee for ISIN and UPI Services

07 December 2023 UK
Reporter: Jack McRae

The DSB has announced the formation of a new governance advisory committee for both ISIN and the UPI

State Street to further consolidate their operating model in India

05 December 2023 India
Reporter: Jack McRae

State Street is finalising plans to assume full ownership of its joint venture operations with HCLTech

NAM Singapore and LGI sign two-year MoU

05 December 2023 Singapore
Reporter: Lucy Carter

The memorandum marks the companies’ first collaboration with a Japanese-owned and Singapore-based asset manager respectively, with both aiming to develop investment products that will meet evolving investor needs in the two countries

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