To read the Digest online, click here.
This week's issue addresses the following topics:
- FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
- FINRA Requests Comment on Its Rule on Business Continuity Plans and Emergency Contact Information
- Report from FINRA Board of Governors Meeting: Board Approves Rule Proposals, Engages with Boca Raton-Area Firms
- NFA Reminds Members of Effective Date for Amendments to Information Systems Security Program Requirements
- NFA Issues Notice Regarding Updated FinCEN AML/CFT Guidance
- CFTC and Monetary Authority of Singapore Issue Joint Statement Regarding the Mutual Recognition of Certain Derivatives Trading Venues in the United States and Singapore
- FCA Publishes Policy Statement on New Financial Services Directory
- PRA and FCA Hosted the First Meeting of the Climate Financial Risk Forum
