CFTC commissioner calls for new rules ● BaFIN on innovation challenges ● SFC adopts changes ● NCU final rule ● SEC finalises “names rule” guidance
CUBE RegNews
A selected summary of key developments for regulated financial institutions
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
