To read the Digest online, click here.
This week's issue addresses the following topics:
- FINRA Issues Regulatory Notice Reminding Member Firms about CAT Reporting Deadlines
- FINRA Proposes Rule to Extend the Implementation of Rule Related to Margin Requirements for Credit Default Swaps
- CFTC and SEC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral MOU Concerning Cross-Border Enforcement
- Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments
- Proposed Amendments to NFA Interpretive Notice Compliance Rule 2-9: Supervision of Branch Offices and Guaranteed IBs
- FCA Publishes Supervisory Findings and Dear CEO Letter About Principals and Appointed Representatives in the Investment Management Sector
- CTI launches Templates for Disclosure of Costs and Charges to Institutional Investors
