To read the Digest online, click here.
This week's issue addresses the following topics:
- FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts
- FINRA Provides Guidance on Retail Communications Concerning Private Placements
- FINRA Updates Members on Regulatory Coordination Concerning CAT Reporting Compliance
- SEC Raises Filing Threshold of Rule 17h Reporting Requirements for Broker-Dealers
- SEC Adopts Amendments to Exemptive Applications Procedures
- CFTC Announces Technology Advisory Committee Meeting
- CFTC Announces Market Risk Advisory Committee Meeting
- CFTC Announces Finalization of 2020-2024 Strategic Plan
- NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirement
- ARRC Publishes Additional LIBOR Replacement Materials
- London Weekly Fireside Chat
- FCA Statement on Extending SM&CR Implementation Periods
- HM Treasury and Swiss Government Joint Statement on a Future Mutual Recognition Agreement
- FCA Updates Webpage on the Temporary Permissions Regime
- FCA Speech on the UK’s Financial Regulatory System Following the Brexit Transition Period
- AML: Delegated Regulation on High-Risk Third Countries under MLD4 Published in the Official Journal of the EU
- ESMA Updates Aspects of MiFIR and MiFID II
- ESMA Updates Q&As on CSDR, EMIR, MiFID II and MiFIR
- ESMA Consults on Guidelines for Calculating Positions under SFTR
- European Commission Publishes Communication on the Post-Brexit Transition Period
