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SIFMA Statement On HFSC Vote To Extend MiFID II No-Action Relief

Date 25/05/2023

SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on the House Financial Services Committee passage of H.R. 2622, which would direct the Securities and Exchange Commission’s (SEC) to extend the MiFID II no-action relief for six months and study the potential impact of the expiration of the relief:
US Treasury Sanctions The Head Of The Wagner Group In Mali

Date 25/05/2023

Today, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) sanctioned Ivan Aleksandrovich Maslov (Maslov), the head of Russian Private Military Company ‘Wagner’ (Wagner Group) paramilitary units and its principal administrator based in Mali. The Wagner Group and its leader, Yevgeniy Viktorovich Prigozhin, are sanctioned under multiple authorities, including for support of Russia’s war against Ukraine. The Wagner Group may be attempting to obscure its efforts to acquire military equipment for use in Ukraine, including by working through Mali and other countries where it has a foothold. The United States opposes efforts by any country to assist Russia through the Wagner Group.
US Office Of The Comptroller Of The Currency Revises Bank Enforcement Manual To Address Actions Against Banks With Persistent Weaknesses

Date 25/05/2023

The Office of the Comptroller of the Currency (OCC) today announced revisions to its policies and procedures manual on bank enforcement actions to reflect its consideration of actions against banks that exhibit or fail to correct persistent weaknesses.
ISDA - The Swap - Episode 32: Talking TAC

Date 25/05/2023

The threat of cyberattacks and vulnerabilities in the crypto market are among the issues being discussed by the Commodity Futures Trading Commission’s Technology Advisory Committee. The committee’s sponsor, CFTC commissioner Christy Goldsmith Romero, discusses its priorities and objectives.
Report From FINRA Board Of Governors Meeting – May 2023 - Board Appoints Lisa Fairfax As New Public Governor, Approves 2022 Annual Financial Report And Adds New Members To Advisory Committees

Date 25/05/2023

FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.

CFTC Orders A California Commodity Trading Advisor To Pay More Than $4 Million For Fraud And Registration Violations

Date 25/05/2023

The Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Sharief Deona McDowell, of Loma Linda, California, for fraud in connection with options on commodity futures contracts by a commodity trading advisor (CTA) and for failing to register as a CTA. The order requires McDowell to pay $2,376,509.96 in restitution and a $2,376,509.96 civil monetary penalty. The CFTC also ordered McDowell to cease and desist from further violations of the Commodity Exchange Act (CEA) and CFTC regulations, as charged, and imposed permanent registration and trading bans.
New York Department of Financial Services Superintendent Harris Announces $4.25 Million Cybersecurity Settlement With OneMain Financial Group LLC - OneMain Cybersecurity Control Failures Significantly Increased The Company’s Vulnerability To Cyber Attacks

Date 25/05/2023

Superintendent of Financial Services Adrienne A. Harris announced today that OneMain Financial Group LLC (“OneMain”) will pay a $4.25 million penalty to New York State for violations of DFS’s Cybersecurity Regulation (23 NYCRR Part 500). OneMain failed to effectively manage third-party service provider risk, manage access privileges, and maintain a formal application security development methodology, significantly increasing the company’s vulnerability to cybersecurity events.
British Columbia Securities Commission Compliance Reviews Reveal Deficiencies In Managing Or Avoiding Conflicts Of Interest With Clients

Date 25/05/2023

The British Columbia Securities Commission (BCSC)’s latest Annual Compliance Report Card of portfolio managers, investment fund managers and exempt market dealers, released today, reflects the past year’s focus on conflicts of interest (COI).
Total Allotments For FGN Savings Bonds Rise To N5.06bn In 5 Months – NGX

Date 25/05/2023

Nigerian Exchange Limited (NGX) has revealed that the total allotments for FGN Savings Bonds has risen to N5.06 billion in the first five months of 2023.
BIS: Central Bank Digital Currencies: Ongoing Policy Perspectives

Date 25/05/2023

A group of central banks, together with the Bank for International Settlements, are working together to explore central bank digital currencies (CBDCs) for the public ("general purpose" or "retail" CBDC).