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July 28, 2021

SEC Chair Gary Gensler Directs Staff to Prepare Climate Risk Disclosure Rule

In remarks on a webinar sponsored by Principles for Responsible Investment, SEC Chair Gary Gensler reported that he directed SEC staff to develop a rule proposal on mandatory climate risk disclosure by the end of 2021.

Commentary by Steven Lofchie
July 28, 2021

CFTC Grants CPO Conditional Relief from Quarterly Statement Distribution Requirement

The Market Participants Division of the CFTC granted a CPO conditional no-action relief from the requirement to deliver quarterly account statements to pool participants within a specified timeframe.
July 28, 2021

Firm Settles Charges for Supervisory and Risk Management Control Violations

A firm providing execution and routing services to broker-dealers settled FINRA and NYSE Arca charges for failing to establish, document and maintain a supervisory system, and for certification failures regarding the firm's regulatory risk management controls.
July 27, 2021

SEC Grants Substituted Compliance Determination for France

The SEC granted a substituted compliance determination for French-regulated security-based swap dealers.

Commentary by Nihal Patel
July 27, 2021

House Financial Services Subcommittee Considers National Security Implications of CBDCs

The U.S. House Financial Services Subcommittee on National Security, International Development and Monetary Policy considered testimony on the creation of a U.S. central bank digital currency.
July 27, 2021

Senate Banking Committee Debates Merits of Cryptocurrency

The U.S. Senate Committee on Banking, Housing, and Urban Affairs debated the benefits and drawbacks of cryptocurrencies.
July 27, 2021

IOSCO Seeks Comment on ESG Ratings and Data Providers

IOSCO is seeking feedback on proposed recommendations concerning environmental, social and governance ratings and data providers.

Commentary by Steven Lofchie
July 27, 2021

Twenty-Seven Firms Settle SEC Charges for Form CRS Failures

Twenty-one investment advisers and six broker-dealers agreed to settle SEC charges for failing to file and deliver in a timely fashion their client or customer relationship summaries.
July 27, 2021

MSRB Issues Guidance on Primary Offering Disclosure Form

The MSRB issued a new FAQ to clarify the process for completing the MSRB's primary offering disclosure form.
July 27, 2021

OCC Takes Steps to Act on Climate Change Goals

The OCC named Darrin Benhart as the agency's Climate Change Risk Officer and announced the agency will join the Network of Central Banks and Supervisors for Greening the Financial System.

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