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Newsletter

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

April 13, 2018

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To read the online Digest, click here.

This week's issue addresses the following topics:

  • Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits
  • FINRA Proposed a Rule Change With Respect to the Establishment of a Second Trade Reporting Facility
  • SEC Confirms Record Retention Requirements With Third-Party Recordkeeping Services
  • FCA and PRA Publish 2018/19 Business Plans
  • FCA Publishes Statement Regarding the Requirement for Firms Offering Cryptocurrency Derivatives To Be Authorized
  • ESMA Seeks EC Clarification on Ancillary Activity Test Under MiFID II
  • IOSCO Produces CCP Stress Test Framework
  • ESMA Publishes Updated Double Volume Cap Public Register

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