To read the Digest online, click here.
This week's issue addresses the following topics:
- FINRA Requests Comment on Proposed Proceeding Rule for Failures to Comply With Qualification Examinations Rules of Conduct, Registration Requirements and Eligibility Proceedings Rules
- SEC Staff to Host Roundtable on Regulation Best Interest and Form CRS on October 26
- CFTC to Hold Open Commission Meeting on October 6
- CFTC Extends No-Action Relief for Certain Reporting Obligations under the OCR Final Rule
- COVID-19: FCA and PRA Updates on Working from Home and Key Workers
- MiFID II: ESMA Publishes Final Report on Third-Country Firm Regime
- MiFID II: FCA Publishes Regulatory Forbearance on the 10 Percent Depreciation Rule
- MiFID II: FCA Publishes Regulatory Forbearance on the 10 Percent Depreciation Rule
