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MiCA: EU Commission Publishes Comprehensive Cryptoasset Market Regulation Proposal

The proposed regulation will provide greater consumer and investor protection and lessen the risks of participating in digital finance. By Stuart Davis The EU Commission has published...

Morgan Stanley to Pay $5 Million for Violations in Prime Brokerage Swaps Business

The Securities and Exchange Commission today confirmed settled charges against Morgan Stanley for violations of Regulation SHO, the regulatory framework governing short sales. According to...

European ESG Disclosure Requirements for Asset Managers

by Kirsten Lapham, Michael Singh, Amar Unadkat, John Verwey A new European regime on sustainability-related disclosures in the financial sector will come into force from...

CFTC Considers New Approach to Regulation of Electronic Trading

by Donna Parisi, Geoffrey B. Goldman, Azam Aziz, Jennifer Oosterbaan Introduction In the wake of considerable market criticism of prior proposals, the CFTC has proposed a...

Canadian Securities Regulators Offer Liquidity Risk Guidance for Investment Funds

The Canadian Securities Administrators (CSA) today published guidance intended to help investment fund managers develop and maintain effective liquidity risk management frameworks for investment...

Boosting Blockchain: Germany to Introduce Electronic Securities

by Dr. Nick Wittek, Dr. Michael R. Fischer, Martin Schulte, Harriet Territt, Philippe Goutay, Stephen J. Obie, Mark W. Rasmussen In Short The Situation: The requirement for...

Consolidating Mutual Fund Regulators Would Save up to Half a Billion Dollars

Independent report estimates that a consolidated self-regulator would result in $380M to $490M in savings The Investment Industry Regulatory Organization of Canada (IIROC) released an...

ESMA Proposes to Further Postpone CSDR Settlement Discipline

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has today published a final report on draft regulatory technical standards (RTS) definitively postponing...

CFTC Finalizes Cross-Border Swaps Rule

by Joseph Vebman, Mark D. Young, Jonathan Marcus, Daniel B. O'Connell, Skadden, Arps, Slate, Meagher & Flom LLP On July 23, 2020, the Commodity Futures Trading Commission (CFTC...

SEC, FINRA Provide Guidance Regarding Cybersecurity, AI and Digital Assets

by Valerie Dahiya and Thomas Ahmadifar, Perkins Coie LLP The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) made several...

AML, KYC and Sanctions Fines for Global Financial Institutions Reach $5.6 Billion Mid-Year

Repercussions from high profile scandals and compliance failings hit US, Israeli, Nordic and German banks hardest Digital transformation specialist Fenergo has released its mid-year findings...

ISS Introduces Compliance Solution for Custodians Ahead of SRD II Deadline

Governance specialist Institutional Shareholder Services Inc. (ISS), confirmed that it has launched a Global Proxy Distribution (GPD) Shareholder Identification Service, which it says is...
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