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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...

ICI: SEC’s Fair Value Proposal Modernizes Current Regulatory Framework

Modifications Needed to Reflect Funds’ Practices The proposed fair value rule from the Securities and Exchange Commission (SEC) replaces a patchwork of guidance and appropriately...

Industry Paper Tackles Regulatory-Driven Market Fragmentation in Asia

The report provides recommendations for a more holistic and coordinated approach to policy development and implementation with case studies from the region’s capital markets. ASIFMA,...

ESG in Structured Finance Transactions

by Martin Sharkey, Partner, Dentons Background A concern for the environment, fair treatment and the rule of law are not new. However, in a post-industrial and...

Initial Margin Guidance for US Swap End Users

I. Introduction Thanks to recent actions taken by the Commodity Futures Trading Commission (CFTC) and the five US prudential regulators responsible for the uncleared swap...

MiFID II: The Impact So Far

It has been over 30 months since the European Union’s Markets in Financial Instruments Directive came into force in January 2018. The vast scope...

CFTC Approves Final Cross-Border Swaps Rule, Exempt SEF Amendment Order

The Commodity Futures Trading Commission at its open meeting last week approved a final rule on the cross-border application of certain swap provisions under...

Financial Firms Struggled to Maintain Regulatory Compliance Standards

Greenwich Report Analyzes Challenges Facing Market Participants Trying to Maintain Compliance While Trading From Home When COVID-19 shuttered trading floors in March 2020, many buy-side...

SEC Greenlights Investment Fund Delivered in Security Tokens

On July 6, 2020, asset management firm Arca announced that the US Securities and Exchange Commission (SEC) granted it approval under the Investment Company...
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