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United States
Securities / Derivatives
SEC Finalises Cybersecurity Disclosure Rules for Public Companies
By Editors | 31/07/2023
Public companies will be required to disclose their cyber risk management practices and report significant incidents within four business days.
Securities / Derivatives
CFTC Finalises New DCO Rule and Introduces Three Proposals
By Editors | 31/07/2023
The final rule amends reporting requirements for DCOs. The three proposals cover SEF regulations, uncleared swap confirmations, and margin requirements.
Market Infrastructure
DTCC Exits Global Markets Entity Identifier Business
By Editors | 31/07/2023
DTCC to exit Global Markets Entity Identifier operations by 22 August, partnering with GLEIF for a seamless transition.
Capital / Liquidity
US Agencies Update Guidance on Liquidity Risk, Contingency Planning
By Sanday Chongo Kabange | 31/07/2023
The guidance requires depository institutions to regularly evaluate and update their contingency funding plans, more frequently in changing market conditions.
Fintech / Regtech
SEC Targets Digital Investment Advisers with Proposed Rule Changes
By Editors | 31/07/2023
The US SEC is seeking to reform Internet adviser registration rules, proposing stricter requirements for digital investment platforms.
Securities / Derivatives
Chinese Firm Set to Stage First US IPO Under New CSRC Rules
By Editors | 31/07/2023
Chinese-based Majestic Ideal Holdings is inching towards becoming the first company to IPO in the US under newly-implemented rules for overseas listings.
Fintech / Regtech
US SEC Proposes New Rules on the Use of Predictive Analytics and AI
By Editors | 31/07/2023
SEC proposes new rules to address conflicts in broker-dealers’ and investment advisers’ use of predictive analytics and AI.
Crypto / Digital Assets
Accounting Firms Face Potential Liabilities in Crypto Audits: SEC Official
By Manesh Samtani | 30/07/2023
SEC Chief Accountant warns accounting firms of potential legal liabilities when auditing crypto firms, stressing the importance of auditor independence.
Crypto / Digital Assets
US Lawmakers Advance Bill on Stablecoin Regulation
By Editors | 29/07/2023
The ‘Clarity for Payment Stablecoins Act’ would have the Fed write requirements for issuing stablecoins but still preserve the authority of state regulators.
ESG / Sustainability
FSOC Meeting Highlights Urgent Need to Address Climate Risks
By Editors | 28/07/2023
Gary Gensler said the SEC will consider “appropriate” adjustments to its proposed climate risk disclosure framework.
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