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Statement On Customer Identification Program, SEC Chair Gary Gensler, May 13, 2024
Date 13/05/2024
Today, the Commission is considering a joint rule proposal with the U.S. Department of Treasury to help guard against illicit financial activity. The proposed rule is designed to align investment adviser Customer Identification Program obligations with those of other financial entities. I support this rule because it could reduce the risk of terrorists and other criminals accessing U.S. financial markets to launder money, finance terrorism, or move funds for other illicit purposes.
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ISDA Publishes DC Review And Launches Market Consultation
Date 13/05/2024
ISDA has published an independent review on the structure and governance of the Credit Derivatives Determinations Committees (DCs) and launched a market-wide consultation on its recommendations.
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SEC, FinCEN Propose Customer Identification Program Requirements For Registered Investment Advisers And Exempt Reporting Advisers
Date 13/05/2024
Today the Securities and Exchange Commission and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would require SEC-registered investment advisers (RIAs) and exempt reporting advisers (ERAs) to establish, document, and maintain written customer identification programs (CIPs). The proposal is designed to prevent illicit finance activity involving the customers of investment advisers by strengthening the anti-money laundering and countering the financing of terrorism (AML/CFT) framework for the investment adviser sector.
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ISDA SwapsInfo First Quarter Of 2024 Review
Date 13/05/2024
The latest ISDA SwapsInfo Quarterly Review shows that interest rate derivatives (IRD) traded notional and trade count declined in the first quarter of 2024 compared to the first quarter of 2023. Index credit derivatives trading activity also fell over the same period.
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ACER’s Latest REMIT Quarterly Is Out
Date 13/05/2024
REMIT (Regulation on Wholesale Energy Market Integrity and Transparency) provides an EU framework for the transparency and integrity of energy markets and deters market participants from manipulating the market. It plays an important role in protecting the interests of companies and consumers and ensuring trust in energy markets.
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The EBA Consults On Draft Technical Standards On Equivalent Mechanism For Unfinished Property Under The Standardised Approach Of Credit Risk
Date 13/05/2024
The EBA plays an important role in the implementation of the EU Banking Package.
- These draft regulatory technical standards are part of the first phase of the EBA roadmap for implementing the EU Banking Package in the area of credit risk.
- These draft technical standards will contribute to a more a robust regulatory framework, efficient supervision, and enhanced risk control by credit institutions.
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BIS: Erik Thedéen Appointed As Chair Of The Basel Committee On Banking Supervision
Date 13/05/2024
- The Basel Committee's oversight body appoints Erik Thedéen, Governor of the Sveriges Riksbank, as Chair of the Basel Committee.
- Mr Thedéen succeeds Pablo Hernández de Cos, who has chaired the Committee since March 2019.
- Mr Thedéen's term starts on 11 June 2024 for three years, renewable once.
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Broadridge And Kyndryl To Partner In Canadian Wealth Management
Date 13/05/2024
Global Fintech leader Broadridge Financial Solutions, Inc. (NYSE:BR), today announced that it will acquire Kyndryl’s Securities Industry Services (SIS) wealth and capital markets technology platform. SIS solutions include clearing and settlement, account record keeping, tax and regulatory reporting, and integrated order management activities for Canadian financial services firms. Kyndryl intends to partner with Broadridge Canada by providing managed services and capabilities to SIS.
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Fiserv To Present At Upcoming Investor Conferences
Date 13/05/2024
Fiserv, Inc. (NYSE: FI), a leading global provider of payments and financial services technology solutions, announced its participation in the following investor conferences.
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Finansinspektionen Notifies Foreign Supervisory Authorities After Complaints About Misleading Advice
Date 13/05/2024
FI has been receiving complaints from consumers in Sweden about four foreign investment firms. The foreign supervisory authorities who are responsible for the supervision of these companies have been notified about the complaints.
