Compliance

CFTC Issues Final Interpretive Guidance on Actual Delivery for Digital Assets

The Commodity Futures Trading Commission today announced the Commission voted unanimously to approve final interpretive guidance concerning retail commodity transactions involving certain digital assets....

CFTC Supports Work From Home Efforts With Regulatory Relief Measures

US derivatives market participants have been handed temporary relief by authorities from certain regulatory requirements, as more traders shift to working from home in...

Troubled Debt Restructurings: Interagency Statement on Loan Modifications and Reporting for Financial Institutions Working...

The Office of the Comptroller of the Currency (OCC), Board of Governors of the Federal Reserve System (FRB), Consumer Financial Protection Bureau, Federal Deposit...

ABA Releases New Coronavirus Resources for Banks

With banks, their customers and their employees facing unprecedented challenges associated with the 2019 novel coronavirus pandemic, ABA today published a suite of new...

CISA Designates Certain Financial Services Employees ‘Critical Infrastructure Workers’

The Cybersecurity and Infrastructure Security Agency today issued a memo identifying individuals in various sectors deemed to be “essential critical infrastructure workers.” This guidance...

Pondering Pandemics: Can We Get Better at Responding to Systemic Risks?

An economic system balances in a seemingly precarious equilibrium. It is not unusual for a CRO to be asked how his or her organization...

SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected...

The Securities and Exchange Commission today announced that it is providing conditional regulatory relief for registered transfer agents and certain other persons with regulatory...

Hiding Amongst the Noise – Looking for Market Manipulation During Times of High Volatility

Market manipulation has long been a concern for many firms – but what happens when trading volumes increase during times of extreme volatility?While many...

CSDR – The Clock is Ticking…

The Central Securities Depository Regulation (CSDR), first published way back in 2014, is finally on its way in – and although final implementation may...

IOSCO report examines how existing regulatory principles could apply to stablecoins

The Board of the International Organization of Securities Commissions today published a report identifying the possible implications of global stablecoin initiatives for securities markets...
- Advertisement -
- Advertisement -