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  • CFTC Commissioners Behnam And Quintenz To Participate In A Fireside Chat At The 33rd Annual FIA Futures & Options Expo

    Date 12/10/2017

    WHAT:

    Commissioners Rostin Behnam and Brian Quintenz will join FIA President and CEO Walt Lukken in a Fireside Chat at their first FIA Conference since being sworn in as CFTC Commissioners.

    WHEN:

    October 18, 2017
    9:00 a.m.

    WHERE:

    Hilton Chicago
    720 South Michigan Avenue
    Chicago, IL 60605

     

  • Office of the Comptroller of the Currency: Bob Phelps Selected To Be Deputy Comptroller For Supervision Risk Management

    Date 12/10/2017

    The Office of the Comptroller of the Currency (OCC) today announced Bob Phelps will be its next Deputy Comptroller for Supervision Risk Management, effective October 30, 2017.

  • IMF Brings Policymakers Together To Foster Cooperation On FinTech

    Date 12/10/2017

    Representatives from over 40 advanced and emerging economies and international institutions met in Washington to discuss Fintechthe impact of technological change in the financial sector. Ministers of finance and economics, central bank governors, and other senior officials came together at the invitation of the International Monetary Fund (IMF) to share experiences and discuss potential policy and regulatory responses.

  • EBA Provides Guidance To Authorities And Institutions On Brexit Relocations

    Date 12/10/2017

    The EBA published today an Opinion on Brexit to ensure the consistent application of Union legislation to businesses seeking to establish or enhance their EU27 presence in order to retain access to the EU Single Market. The Opinion aims at providing greater certainty to firms and ultimately at ensuring a level playing field. In the Opinion, the EBA addresses a number of relevant policy topics relating to authorisations, the prudential regulation and supervision of investment firms, internal models, outsourcing, internal governance, risk transfers via back-to-back and intragroup operations, and resolution and deposit guarantee scheme issues. The EBA will monitor how the Opinion will be applied in practice by authorities and will continue its policy and risk analysis work in relation to the challenges posed by Brexit.

  • SEC Announces Whistleblower Award Of More Than A Million Dollars

    Date 12/10/2017

    The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1 million for providing the SEC with new information and substantial corroborating documentation of a securities law violation by a registered entity that impacted retail customers.