To read the Digest online, click here.
This week's issue addresses the following topics:
- Nasdaq Proposes Rule Change to SEC to Assume Operational Responsibility for Certain Investigation and Enforcement Functions Currently Performed by FINRA
- CFTC Issues No-Action Relief for Prime Brokerage Trading on SEFs
- SEC Releases Framework for “Investment Contract” Analysis of Digital Assets
- SEC Issues TurnKey Jet, Inc. No-Action Letter
- FCA and SEC Sign Updated Memoranda of Understanding
- FCA Confirms Final Rules and Guidance for Firms for No-Deal Brexit
- ESMA Publishes Updates Q&As on MAR
- ESMA Updates Q&As on the Application of the AIFMD
- Regulators in Singapore and the EU Agree on Mutual Recognition for Derivatives Platforms
- Equivalence for UK CCPs and CSDs Extended
