IOSCO's fifth annual World Investor Week will focus on sustainable finance, and fraud and scams prevention.
News & Insights
The SEC set a comment deadline on amendments to NFA compliance rules and interpretations related to AML suspicious activity report confidentiality.
NFA recommended that its member futures commission merchants and introducing brokers review FinCEN's recently issued FAQ concerning customer due diligence in order to ensure that their AML programs meet CDD-related regulatory obligations
FINRA proposed amendments to the Security Futures Risk Disclosure Statement to reflect recent changes on position limits for security futures contracts, market-wide circuit breaker benchmarks and thresholds, and that exchanges may now list security futures on certain debt instruments.
NFA directed member firms to a recent FinCEN Alert stressing the AML obligations of futures commission merchants and introducing brokers in the wake of recent Russia-related economic sanctions.