To read the Digest online, click here.
This week's issue addresses the following topics:
- 2021 Advisory Committee Overview and Engagement Notice
- FINRA Alerts Firms to Recent Increase in ACH "Instant Funds" Abuse
- FINRA Announces Updates to the Interpretation on FINRA's Margin Rule for Day Trading
- CFTC Staff Issues Guidance Regarding Risk Assessment of Customer Accounts for Futures Commission Merchants
- NFA Issues Notice Regarding Effective Date of NFA's Swap Dealer Capital Requirements
- AML: HM Treasury Updates Advisory Notice on Money Laundering and Terrorist Financing Controls in Higher-Risk Jurisdictions
- AML: UK Government Publishes Money Laundering and Terrorist Financing (Amendment) (High-Risk Countries) Regulations 2021
- UK Treasury Announces Technical Discussions on MoU on UK-EU Regulatory Cooperation in Financial Services
- ESAs Opinion on Jurisdictional Scope of the Securitisation Regulation
- Joint Committee of ESAs Q&As on Securitisation Regulation
