To read the Digest online, click here.
This week's issue addresses the following topics:
- FINRA Conducts Review of Waiver and Rebate Systems and Procedures with Respect to Mutual Fund ROR Purchases
- CFTC Issues Order of Registration to ICE Futures Abu Dhabi Limited to Permit Trading by Direct Access from the United States
- OCC Issues Semiannual Risk Perspective
- FCA Creates Webpage on Brexit From EEA Regulators
- HM Treasury Announced Equivalence Decisions for EEA and EU Member States
- ESMA Publishes Draft Guidelines on MiFIR and MiFID II Market Data Obligations
- ESMA Updates Annex to Opinion Determining Third-Country Trading Venues Under MiFIR
- ESMA Published Decision on MiFIR Assessments of Third-Country Trading Venues
