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Home » CUBE RegNews

CUBE RegNews

A selected summary of key developments for regulated financial institutions

September 22nd

CFTC commissioner calls for new rules ● BaFIN on innovation challenges ● SFC adopts changes ● NCU final rule ● SEC finalises “names rule” guidance

September 21st

SEC charges adviser ● FCA finds little evidence that banks target politicised clients ● ESMA consultation paper update

September 20th

SEC charges adviser ● FCA finds little evidence that banks target politicised clients ● ESMA consultation paper update

September 19th

ABA: Compliance in a digital future ● FINRA September fines summary ● MAS enforcement report

September 15th

Eurofi forum speeches: SEC commissioner Lizárraga ● FCA chair Alder ● BIS chair Hernández de Cos ● BIS partners in LatAm

September 14th

SEC on AI benefits to compliance ● SEC charges Virtu ● NASAA identifies compliance deficiencies ● FCA statement on financial promotions

September 13th

SEC on AI benefits to compliance ● SEC charges Virtu ● NASAA identifies compliance deficiencies ● FCA statement on financial promotions

September 12th

CFTC on digital derivatives enforcement ● US National Financial Fraud Registry proposal ● BIS on Basel III ● UK’s NCA cybercrime research

September 11th

FinCEN pig butchering alert ● IRS targets wealthy in major policy shift ● FCA writes to wholesale banks ● ASIC monthly update

September 8th

CFTC resolves bitcoin fraud ● Call for digital assets pilot program ● SEC IA Risk Alert ● FCA crypto promotions regime update

September 7th

SEC approves new CAT fee model ● Central banker calls for new regulator for fintech ● EIOPA chair outlines broad themes ● HKMA Dear CEO

September 6th

SEC charges five IAs ● FCA on better sanctions practices ● FCA launches review of treatment of PEPs ● ASIC targets OTC retail product issuers

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