To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Amends the Definition of "Smaller Reporting Company"
- SEC Approves Amendment to Rule 701 and Issues a Concept Release Regarding Form S-8 and Rule 701
- SEC Adopts New Form ATS-N and Amendments to Regulation ATS and Exchange Act Rule 3a1-1 to Enhance Transparency and Oversight of Alternative Trading Systems
- CFTC Permits DCOs to Invest Customer Funds in European Sovereign Debt
- Regulators Publish Changes to the Volcker Rule
- CFTC Issues Customer Advisory on Digital Coins and Tokens
- FSB Publishes Report on Cryptoassets
- OCIE Issues Risk Alert on Compliance Issues Related to Best Execution by Investment Advisers
- Draft Financial Regulators’ Powers Regulations 2018 Published
- ESMA Updates Benchmarks Regulation Q&As
- EU Prospectus Regulation: ESMA Consults on Minimum Information Content for Exemption and Guidelines on Risk Factors and Publishes Final Report on RTS
- Eight EU Member States Publish Joint Statement on the Capital Markets Union Post Brexit