BROKER-DEALER -
FINRA Warns Investors of Potential Stock Fraud in Wake of Hurricane Dorian -
The Financial Industry Regulatory Authority (FINRA) recently released an investor alert cautioning investors of potential...more
9/9/2019
/ Broker-Dealer ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
Derivatives ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Fraud Alerts ,
ISDA ,
National Futures Association ,
Natural Disasters ,
Swap Dealers ,
UK
BROKER-DEALER -
Division of Trading and Markets and FINRA Staffs Issue Joint Statement on Broker-Dealer Custody of Digital Asset Securities -
On July 8, in response to questions raised by market participants regarding...more
7/15/2019
/ AML/CFT ,
Books & Records ,
Broker-Dealer ,
CFTC ,
Cryptocurrency ,
Customer Protection Rule ,
Debt Securities ,
Derivatives ,
Digital Assets ,
FATF ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Virtual Currency
On December 2, the European Securities and Markets Authority published an updated Questions and Answers (Updated Q&A) on the Alternative Investment Fund Managers Directive (AIFMD). The Updated Q&A focuses on Section III...more
On December 2, the European Securities and Markets Authority issued a press release stating that clearing as required under the European Market Infrastructure Regulation would commence on June 21, 2016. This date follows the...more
BACKGROUND -
The five US prudential regulators for swaps (the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve, the Comptroller of the Currency, the Farm Credit Administration and the...more
On September 14, the European Securities and Markets Authority (ESMA) published its Trends, Risks and Vulnerabilities Report No. 2 for 2015 (the TRV) on the European securities markets. The TRV covers the time period from...more
On July 6, the European Securities and Markets Authority (ESMA) issued an official opinion (Opinion), agreeing to renew the emergency short selling prohibition originally imposed by the Hellenic Capital Market Commission...more
On May 22, the European Securities and Markets Authority (ESMA) published an opinion to the EU institutions (including the Commission, Parliament and Council) calling for a modification of the Directive for Undertakings for...more
In this issue:
- SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting
- CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors
- CFTC...more
On October 15, the Committee on Payments and Market Infrastructures (CPMI) and the International Organization of Securities Commissioners (IOSCO) published a final report entitled, “Recovery of Financial Market...more