To read the Digest online, click here.
This week's issue addresses the following topics:
- FINRA Issues Investor Alert Regarding IRS Phone Scam
- FINRA Issues Notice on the Mandatory Participation of Member Firms in FINRA’s BC/DR Testing
- CFTC Provides Responses to Frequently Asked Questions Regarding Commission Form CPO-PQR and CTA-PR
- NFA Issues Notice to CPOs and CTAs Regarding EasyFile Logistics for CTA FORM PR and CPO Form PQR
- CFTC Extends Swap Data Reporting Relief to Certain Non-US SDs and MSPs
- FFIEC Issues New IT Management Booklet
- Agencies Issue Guidance on Capital Deduction Methodology
- FDIC Issues Advisory on Effective Risk Management Practices for Purchased Loans and Purchased Loan Participations
- Agencies Find Weaknesses in Shared National Credits
- Comptroller Revises Credit Card Lending; Announces Rescissions
- Recent FCA Commentary on Internal Investigations by Firms
- European Commission Acknowledges a Year’s Delay to the Implementation of MiFID II May Be Necessary
- ESMA Reopens Consultation on Indirect Clearing Arrangements
