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  • SEC Charges Novartis AG With FCPA Violations

    Date 25/06/2020

    The Securities and Exchange Commission today announced that Novartis AG, a global pharmaceutical and healthcare company headquartered in Basel, Switzerland, has agreed to pay over $112 million to settle charges that it violated the books and records and internal accounting controls provisions of the Foreign Corrupt Practices Act (FCPA).

  • Statement Of CFTC Commissioner Rostin Behnam Regarding Notice Of Proposed Rulemaking On Margin Requirements For Uncleared Swaps For Swap Dealers And Major Swap Participants

    Date 25/06/2020

    Today’s notice of proposed rulemaking (“NPRM”) is necessitated as a result of global policy and domestic regulatory considerations to address the impact of the COVID-19 pandemic on potential market disruption that could result from a large number of entities simultaneously coming into compliance with the initial margin (or “IM”) requirements of the CFTC Margin Rule.[1]  In our attempts to remain consistent with revisions to the BCBS/IOSCO international framework’s implementation schedule, we have now created an additional compliance phase, moving from five to six, and postponing full compliance by one year to September 1, 2021.[2]  This seems reasonable, save for the fact that our last action to provide relief for those who would have to come into compliance in September of this year has resulted in a reuniting of phases five and six, reintroducing the same set of concerns regarding potential market disruptions we sought to avoid.  Accordingly, we are here today with a new NPRM to further postpone the compliance date for the final phase, phase six, to September 1, 2022.

  • Finansinspektionen: SEB Receives An Administrative Fine For Deficiencies In Its Work To Combat Anti-Money Laundering In The Baltics

    Date 25/06/2020

    SEB has not sufficiently identified the risk of money laundering in its Baltic operations and has had deficiencies in its governance and control of the Baltic subsidiary banks’ anti-money laundering measures. SEB is therefore being issued a remark and an administrative fine of SEK 1 billion.

  • US Financial Regulators Modify Volcker Rule

    Date 25/06/2020

    Five federal regulatory agencies today finalized a rule modifying the Volcker rule's prohibition on banking entities investing in or sponsoring hedge funds or private equity funds—known as covered funds. The final rule is broadly similar to the proposed rule from January.


  • UK Financial Conduct Authority: EBA Guidelines On ICT And Security Risk Management

    Date 25/06/2020

    On 28 November 2019, the European Banking Authority (EBA) published final Guidelines(link is external) on ICT and security risk management for credit institutions, investment firms and payment service providers (PSPs) ('the Guidelines'). The FCA has notified the EBA that it intends to comply with these Guidelines.

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