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  • CFTC And 30 States Charge Los Angeles Precious Metals Dealers In Ongoing $185 Million Fraud Targeting The Elderly - Largest Joint Filing Between CFTC And State Regulators In History

    Date 25/09/2020

    The Commodity Futures Trading Commission and 30 state regulators that are members of the North American Securities Administrators Association (NASAA) announced the filing of a joint civil enforcement action in the U.S. District Court for the Northern District of Texas against two precious metals dealers and their companies for perpetrating a $185 million fraudulent scheme targeting elderly persons nationwide.

  • ESMA Reports Decrease In Prospectus Activity For 2019

    Date 25/09/2020

    The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator reports, in its Annual Report on prospectus activity, that in 2019 the number of prospectus approvals across the European Economic Area (EEA) decreased to 3,113 from 3,390 a fall of 8% compared to 2018. This decrease continues the downward trend observed since the 2008 

  • FSB Holds Virtual Roundtable On External Audit

    Date 25/09/2020

    The Financial Stability Board (FSB) held the 2020 Roundtable on External Audit on 23 September. Jeremy Rudin, Superintendent of Canada’s Office of the Superintendent of Financial Institutions, chaired the virtual meeting. Participants comprised senior representatives from FSB member authorities, audit oversight bodies, the International Forum of Independent Audit Regulators (IFIAR), the Committee of European Auditing Oversight Bodies, the International Auditing and Assurance Standards Board and its oversight body the Public Interest Oversight Board, and the six largest global audit networks (“the global networks”).

  • ESMA Consults On Fees For Benchmarks Administrators

    Date 25/09/2020

    The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has launched today a consultation on fees for benchmarks administrators under the BMR.


  • LEI ROC To Become Governance Body For OTC Derivatives Identifiers

    Date 25/09/2020

    The Financial Stability Board (FSB) today confirmed the Regulatory Oversight Committee (ROC) of the Global Legal Entity Identifier System as the International Governance Body (IGB) for the globally harmonised identifiers used to track over-the-counter (OTC) derivatives transactions.