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FINRA Promotes Michael Solomon To Executive Vice President Of Examinations And Membership Application Program
Date 13/05/2024
FINRA announced today that it has promoted Michael Solomon to Executive Vice President of Examinations and Membership Application Program, effective immediately. Solomon has taken on an expanded leadership role since rejoining FINRA in 2022 as a Senior Vice President and Head of Examinations. Solomon continues to report to Greg Ruppert, Executive Vice President, Member Supervision.
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CFTC Issues Order Against Crypto Prime Brokerage Firm For Illegally Providing U.S. Customers Access To Digital Asset Derivatives Trading Platforms - CFTC’s First Action Against An Intermediary For This Kind Of Violation Of CFTC Rules
Date 13/05/2024
The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against Falcon Labs, Ltd., an entity organized under the laws of the Seychelles, for failing to register with the CFTC as a futures commission merchant (FCM), as required. This marks the CFTC's first action against an unregistered FCM that inappropriately facilitated access to digital asset exchanges.
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CFTC Warns Students And Job Seekers Not To Become “Money Mules”
Date 13/05/2024
The Commodity Futures Trading Commission’s Office of Customer Education and Outreach (OCEO) today issued a customer advisory warning students and other job seekers looking for remote work to be aware of the warning signs and dangers of “money mule” scams. Money mule scams involve individuals sending and receiving money into their bank accounts, digital wallets, or spot-market crypto trading accounts as part of their job duties or at the direction of others.
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Euronext Announces Volumes For April 2024
Date 13/05/2024
Euronext, the leading pan-European market infrastructure, today announced trading volumes for April 2024.
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ETFGI Reports Robust Growth In Global ETFs Industry With 35 New Listings Last Week
Date 13/05/2024
ETFGI, a leading independent research and consultancy firm dedicated to providing insights on the global Exchange Traded Funds (ETFs) ecosystem, has today announced a significant uptick in the ETFs market. Last week alone, the industry saw the introduction of 35 new products and the closure of 6, culminating in a net increase of 29 ETF offerings.
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BIS: Governors And Heads Of Supervision Reiterate Commitment To Basel III Implementation And Provide Update On Cryptoasset Standard
Date 13/05/2024
- The Basel Committee's oversight body welcomes progress made in implementing Basel-III.
- Reiterates expectation to implement all aspects of the Basel Framework in full, consistently and as soon as possible.
- Sets updated implementation timeline for the cryptoasset standard to 1 January 2026.
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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.
