FINRA March fines ● Commodity pool operator $64m fine ● PRIIPs KID Q&A update ● MAS speech on treating customers fairly
CUBE RegNews
A selected summary of key developments for regulated financial institutions
March 15th
CFTC fines binary options entity ●JP Morgan Chase fined $350 million ● ECB climate speech ● Phase 2 of e-HKD pilot launched
March 14th
FCA speech ● The ECB – ten years on ● EBA releases RTS on complaint handling ● Australian regulators publish further guidance for FAR
March 13th
PRA PS5/24 ● HMT PSPs draft rules and policy note for ● CFTC speech on Commodity Futures Trading ● HKMA stablecoin sandbox
March 12th
LSE accepts Crypto ETNs ● HMT consultation on MLRs ● FATF guidance on R25 ● US DoJ speech ● Australia Buy now pay later legislation
March 11th
FINRA new data products ● Federal Reserve Board FMU risk management final rule ● UK National Payments Vision ● FCA whistleblowing report ● EBA new MiCAR guidelines ● March consultations deadlines
March 8th
CFTC issues recommendations ● APRA’s performance test under review ● Michelle Bowman on bank regulation ● CBI CP158 ● Australia FAR package
March 7th
UK platform for private securities trading ● SEC Rule 605 changes ● SEC climate-related disclosures ● UK HNW exemption ● HKMA new project
March 6th
CFPB new rule on credit card late fee ● Cryptoasset platform fined ● FCA investigates small business loans ● FCA on AML failures
March 5th
FRC fines KPMG ● EBA consults on draft CRR3 RTS ● Bank of Japan Governor on CBDC ● RBI Governor on digital payment landscape
March 4th
FCA letter to investment firms ● FCA Q&A on UK EMIR ● FCA CP24/3 ● Handbook Notice 116 ● FCA on wind-down plans ● ASIC Q4 2023 report
March 1st
PRA issues PS3/24 ● FCA issues MS23/1 ● CFPB guidelines ● FinCEN on high-risk jurisdictions ● US on data access ● CBI speech