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New York State Department Of Financial Services Superintendent Harris Proposes Guidance For New York State-Regulated Banking And Mortgage Institutions Relating To Management Of Safety & Soundness Risks From Climate Change - Proposal Supports Institutions As They Respond To Evolving Risks To Their Operational Resiliency Guidance Seeks Industry Input To Issue Final Guidance

Date 21/12/2022

New York State Department of Financial Services (“DFS”) Superintendent Adrienne A. Harris today announced new proposed guidance for New York State-regulated banking and mortgage institutions (“Institutions”) to help them manage safety and soundness risks related to climate change.
Report From FINRA Board Of Governors Meeting – December 2022 - Board Approves Rule Proposals And FINRA’s 2023 Budget, Previews 2023 Report On FINRA’s Examination And Risk Monitoring Program

Date 21/12/2022

FINRA’s Board of Governors held its fifth and final meeting of the year on Dec. 14-15. During the meeting, the Board approved two rule proposals and FINRA’s 2023 proposed budget, appointed members to the Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC), and previewed the 2023 Report on FINRA’s Examination and Risk Monitoring Program.
SIFMA Issues 2023 And 2024 Fixed Income Recommendations For Full & Early Holiday Closes In The U.S., U.K., And Japan

Date 21/12/2022

SIFMA today issued its 2023 and 2024 holiday recommendations for the trading of U.S. dollar-denominated fixed income securities in the U.S. and the U.K. All 2024 recommendations for Japan are subject to confirmation by the Bank of Japan. SIFMA will confirm its 2024 recommendations for Japan in early 2023.
Federal Reserve Board Issues Technical Updates To Its Policy Governing The Provision Of Intraday Credit In Accounts At Federal Reserve Banks

Date 21/12/2022

The Federal Reserve Board on Wednesday issued technical updates to its policy governing the provision of intraday credit in accounts at the Federal Reserve Banks.
CFTC: Federal Court Orders California Precious Metals Firm And Its Owners To Pay $38 Million For Commodity Fraud And Registration Violations

Date 21/12/2022

The Commodity Futures Trading Commission today announced the U.S. District Court for the Central District of California entered a consent order for permanent injunction, monetary sanctions, and equitable relief against Monex Deposit Company, Monex Credit Company, Newport Services Corporation, and their owners Louis Carabini and Michael Carabini.

Sarah ten Siethoff Named Deputy Director Of The Division Of Investment Management

Date 21/12/2022

The Securities and Exchange Commission announced today that Sarah ten Siethoff has been named Deputy Director of the Division of Investment Management. In addition to serving as Deputy Director, Ms. ten Siethoff will continue serving as the Associate Director of the Division’s Rulemaking Office, a position she has held since 2018.
Bank Of England: Randall Kroszner Appointed To The Financial Policy Committee

Date 21/12/2022

The Chancellor of the Exchequer, Jeremy Hunt, has today announced the appointment of Randall Kroszner as an external member of the Financial Policy Committee (FPC).
EBA Publishes Final Technical Standards On The Identification Of A Group Of Connected Clients

Date 21/12/2022

The European Banking Authority (EBA) published today its final draft Regulatory Technical Standards (RTS) on the identification of a group of connected clients (GCC) under the Capital Requirements Regulation (CRR). These draft RTS, in conjunction with the EBA Guidelines on connected clients, provide the complete framework for the identification of two or more natural or legal persons who are so closely linked by idiosyncratic risk factors, that it is prudent to treat as a single risk.
ESMA Publishes Technical Standards On Cross-Border Activities Under The UCITS Directive And The AIFMD

Date 21/12/2022

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today published a final report specifying the information to be provided, and the templates to be used, to inform competent authorities of the cross-border marketing and management of investment funds and the cross-border provision of services by fund managers.
EBA Updates List Of Diversified Indices

Date 21/12/2022

The European Banking Authority (EBA) updated today the list of diversified indices, originally published in 2013 and previously updated in 2019. The list is part of the implementing technical standards (ITS) drafted to calculate the capital requirements for position risk in equities according to the standardised rules. The list has been updated according to the procedure and methodology laid down in the ITS and submitted to the European Commission for endorsement.