To read the Digest online, click here.
This week's issue addresses the following topics:
- FINRA Revises Problem Codes for Reporting Customer Complaints and for Filing Documents Online
- FINRA Releases White Paper on Artificial Intelligence
- CFTC Extends No-Action Relief to Registrants In Response to COVID-19 Pandemic
- OCC Promulgates Final Rule on “Valid When Made”
- London Weekly Fireside Chat
- FCA Publishes Insight Article on Conduct and Culture during the COVID-19 Pandemic
- Germany Introduces Limited-Scope Exemption for Non-European Proprietary Trading Firms Trading on German Trading Venues
- European Commission Publishes Report on AIFMD Review
- ESMA Renews its Decision on Short Selling in Light of the Ongoing COVID-19 Pandemic
- European Commission Publishes Consultation on Delegated Acts under EMIR
