FCA £150,000 fine ● FINRA $24m spoofing fine ● HK Dear CEO letter shares good green practice ● APRA superannuation DP ● BIS new framework for climate-related financial risk disclosures
30th November
HK Dear CEO letter ● DoJ speech on white collar crime ● HMKA fines CA Indosuez ● Exploring CBDC speech ● Australia consults on scams
29th November
FCA consults on prudence ● FCA issues PS23/16 ● Implementing DORA speech ● Bank of America fined $12m ● AML/CFT guidelines for CASPs
28th November
AFCA welcomes banking scam accord ● SFC proceedings ● APRA consults on insurance ● UK & Japan discuss regulatory issues ● FCA report on IFPR
20th November
MAS MD on the financial ecosystem of the future ● Five CFTC management challenges ● SEC new rule ● ASIC consults on banking code
16th November
Basel paper on digital fraud ● ECB speech on crypto finance regulation ● Quantum technology in financial services
15th November
ASIC enforcement update ● Supervision in the Irish funds sector ● Fed updates guidance for banks ● MAS collaborates on asset tokenisation
14th November
HKMA speech on banking sector ● New AFCA appointments ● Fed on supervision ● Gensler on treasury markets reform ● SFC issues circular
13th November
ASIC publishes cyber survey ● BoE launches next phase of the system-wide exploratory scenario ● Latest SARs newsletter from UK’s FIU
10th November
ESMA focuses on cyber risk ● SFC urges LCs to manage IPO risks ● Bowman reiterates concerns ● EBA consults on guidelines for credit servicers
9th November
FCA letter to stockbrokers ● Uyeda speech on SEC enforcement ● Trader charged with fraud ● ASIC’s $18 million retail investor compensation
8th November
OFAC fine ● Commodity pool fraud ● FCA warns firms to improve anti-fraud systems ● CFTC 2023 enforcement data ● Bowman speech on proposals
