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
21st September
FCA’s Dear CEO letter to insurers ● ECB and HKMA speeches ● SEC privacy act update ● ASIC sues Bit Trade ● FinCEN compliance guide
20th September
FCA finds little evidence that banks target politicised clients ● ESMA consultation paper update ● SEC charges adviser
19th September
MAS enforcement report ● ABA: Compliance in a digital future ● FINRA September fines summary
15th September
Trio of Eurofi forum speeches ● FCA chair Alder ● BIS chair Hernández de Cos ● SEC commissioner Jaime Lizárraga ● BIS partners in LatAm
14th September
SEC charges over unregistered NFT offerings ● SEC Chair testimony ● Ex CEO of financial services firm guilty of fraud
13th September
FCA statement on financial promotions ● SEC on AI benefits to compliance ● SEC charges Virtu ● NASAA identifies compliance deficiencies
12th September
CFTC on digital derivatives enforcement ● US National Financial Fraud Registry proposal ● BIS on Basel III ● UK’s NCA cybercrime research
11th September
FCA writes to wholesale banks ● IRS focus shift to wealthy ● FinCEN pig butchering alert ● ASIC monthly update
8th September
FCA crypto promotions regime update ● CFTC resolves bitcoin fraud ● Call for digital assets pilot program ● HMT reminder on assets reporting
7th September
Central banker calls for new regulator for fintech ● EIOPA chair outlines broad themes ● HKMA Dear CEO ● SEC approves new CAT fee model
6th September
FCA on better sanctions practices ● FCA launches review of treatment of PEPs ● SEC charges five IAs ● ASIC targets OTC retail product issuers