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FICC fined $8M for failing to monitor, vet liquidity of transactions

FICC fined $8M for failing to monitor, vet liquidity of transactions
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Joseph cordahiGurbir grewalGovernment securities divisionClearing corporationDivision of examinationsEnforcement divisionIncome clearing corporationFixed income clearing corporationDepository trust

SEC Charges Fixed Income Clearing Corp With Having Inadequate Risk Management Policies

<p><span>The Securities and Exchange Commission today announced that Fixed Income Clearing Corporation (FICC), a clearing agency, has agreed to pay an $8 million penalty to settle SEC charges that it failed to have adequate risk management policies within its Government Securities Division.   </span></p>

New yorkUnited statesAllison fakhouryNeil fazelSanjay wadhwaGurbirs grewalAnya vekslerKarl nalepaJi liRaffaele maioneEricc kirschAnthony youngPaula shermanDanielr gregusWendyb teppermanLourdes caballes

Matrix Applications Successfully Launches DV Securities on its QTIX Platform

Matrix Applications Successfully Launches DV Securities on its QTIX Platform
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Eric carlinoStephen mellertGovernment securities divisionMatrix managed servicesMatrix applicationsSecurities divisionExecutive vice presidentFixed incomeManaged servicesManaging directorNew york basedஅரசு பத்திரங்கள் பிரிவுபத்திரங்கள் பிரிவுநிர்வாகி துணை ப்ரெஸிடெஂட்சரி செய்யப்பட்டது வருமானம்நிர்வகிக்கப்பட்டது சேவைகள்

Matrix Applications Successfully Launches DV Securities on its QTIX Platform

SEC Approves Rule Change to Clearing Agency Investment Policy

Thursday, April 29, 2021 On March 8, 2021, the Depository Trust Company (“DTC”), the Fixed Income Clearing Corporation (“FICC”), and the National Securities Clearing Corporation (“NSCC”) (each a “Clearing Agency” and collectively the “Clearing Agencies”) filed with the U.S. Securities and Exchange Commission (“SEC”) a proposal to amend the investment policy for each Clearing Agency. The Clearing Agencies investment policy is regulated by the SEC pursuant to Rule 19-4 adopted under Section 19(b)(1) of the Securities Exchange Act of 1934, as amended. The proposal was published in the Federal Register on March 16, 2021. No comments were received, so on April 16, 2021, the SEC approved the proposed policy change.

United statesYork stock exchangeIncome clearing corporationExchange commissionGovernment securities divisionClearing agencyRule change to clearing agency investmentNew york stock exchangeSecurities exchangeCentral certificate serviceNational securities clearing corporationDepository trust companyFixed income clearing corporationClearing agenciesSecurities exchange actFederal register