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Corporate & Financial Weekly Digest, Featuring Articles on SEC launches new website page on ESG investing and UK FCA launches new whistleblowing initiative

March 26, 2021

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To read the Digest online, click here.

This week's issue addresses the following topics:

  • SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act
  • SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues
  • FINRA CAT Production Readiness Certification Deadline
  • FINRA Requests Comment on Proposed Amendments to Margin Rule 4210
  • FINRA Reminds Member Firms of Obligations for Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions
  • NFA Issues Notice Regarding Effective Date of Interpretive Notice on Use of Third-Party Service Providers
  • Post-Brexit Financial Services in United Kingdom — Bank of England Commentary Published
  • UK FCA Launches New Whistleblowing Initiative
  • COVID-19: FCA extends Flexibility on RTS 27 Reports and 10 Percent Depreciation Notifications
  • FCA Confirms No Current Revisions to Temporary Transitional Power Applying to UK’s Derivatives Trading Obligation
  • ESMA Publishes Statement Announcing Supervisory Approach to MiFID II Position Limits for Commodity Derivatives

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