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CFTC: Agricultural Advisory Committee To Meet Via Teleconference September 24

Date 10/09/2020

Chairman Heath P. Tarbert, the sponsor of the Agricultural Advisory Committee (AAC), announced today the AAC will hold a public meeting on Thursday, September 24, 2020 at 2:00 p.m. (EDT). The meeting will be held via conference call in accordance with the agency’s implementation of social distancing due to the COVID-19 (coronavirus) pandemic.

FIA August 2020 SEF Tracker

Date 10/09/2020

Trading volume on SEFs reached $529.4 billion in average notional value per day during August 2020. Trading was down in every category with the exception of FX and non-FRA products.

EBA Calls On The EU Commission To Establish A Single Rulebook On Fighting Money Laundering And Terrorist Financing

Date 10/09/2020

The European Banking Authority (EBA) published today its response to a European Commission’s call for advice on how to strengthen the EU legal framework on anti-money laundering and countering the financing of terrorism (AML/CFT). The European Commission issued this call for advice to the EBA to take advantage of its technical expertise across all areas of financial services regulation and because the EBA has a legal duty to lead, coordinate and monitor the EU financial sector’s fight against ML/TF.
CFTC Issues Guidance On Factors Used in Evaluating Corporate Compliance Programs In Connection With Enforcement Matters

Date 10/09/2020

The Commodity Futures Trading Commission today announced the issuance of new, public, staff-level guidance by the Division of Enforcement, which outlines factors that will be considered when evaluating compliance programs in connection with enforcement matters. The guidance, which will be published in the agency’s Enforcement Manual, is the first of its kind issued by the Division. It follows the recent update of the agency’s civil monetary penalty guidance, which was released in May. [See CFTC Press Release No. 8165-20]
UK Financial Conduct Authority Publishes Annual Report And Accounts 2019/20

Date 10/09/2020

The Financial Conduct Authority (FCA) has today published its Annual Report and Accounts, which looks back on the organisation’s key pieces of work throughout 2019/20.

IROC Publishes The Best Practices For Electronic Proceedings

Date 10/09/2020

Due to social distancing and other public health measures in response to COVID-19, IIROC inperson hearings were postponed or converted to electronic proceedings, either by telephone or videoconference. As the situation continues to evolve, the IIROC Hearing Committee remains committed to ensuring that proceedings are conducted in the public interest in a manner that is timely, fair and safe. This requires that hearings be conducted electronically until such time as inperson hearings become feasible.
EBA Issues Revised List Of ITS Validation Rules

Date 10/09/2020

The European Banking Authority (EBA) issued today a revised list of validation rules in its Implementing Technical Standards (ITS) on supervisory reporting, highlighting those, which have been deactivated either for incorrectness or for triggering IT problems. Competent Authorities throughout the EU are informed that data submitted in accordance with these ITS should not be formally validated against the set of deactivated rules.
Finansinspektionen: Decision Regarding The Countercyclical Buffer Rate

Date 10/09/2020

Finansinspektionen (FI) decided on 9 September not to change the countercyclical buffer rate. The buffer rate of 0 per cent, which was applied starting on 16 March 2020, shall thus continue to apply. The countercyclical buffer guide is set at 1.3 per cent.
Corporate CUSIP Request Volume Flattens In August, While Muni Volumes Slow - Second Straight Month Of Declining Municipal Identifier Request Volume

Date 10/09/2020

CUSIP Global Services (CGS) today announced the release of its CUSIP Issuance Trends Report for August 2020. The report, which tracks the issuance of new security identifiers as an early indicator of debt and capital markets activity over the next quarter, found a significant decline in request volume for new municipal debt identifiers, while requests for new corporate identifiers were roughly flat from last month to this month.
Matthew Alexander, Compliance Analyst At tether: A New Path To Financial Stability: How Stablecoins Promote Transparency And More Equitable Markets

Date 10/09/2020

As the brave new world of digital assets enters its second decade, the rapid growth of this once-nascent industry has put the focus on issues relating to financial stability. Rather than presenting new risks, Matthew Alexander argues that stablecoins have the potential to enhance global financial stability, including the stability of individual and household finances.