An NFA interpretive notice on swap dealer reporting requirements, and the imposition of a late filing fee of $1,000 per business day for certain reports, will go into effect on October 6, 2021.
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The Global Financial Markets Association, the Financial Services Forum, FIA, the Institute of International Finance, ISDA and the Chamber of Digital Commerce offered recommendations to the Basel Committee on Banking Supervision on the design of a prudential framework for the treatment of cryptoasset exposures.
The SEC charged three individuals and an issuer with conducting two fraudulent crowdfunding schemes; the SEC also brought charges against the registered crowdfunding portal on which the offerings were conducted and its CEO for failing to respond to red flags.
The U.S. House Committee on Financial Services Task Force on Financial Technology considered testimony on developments in data sharing and FinTech which raise consumer protection and regulatory questions.
The SEC Office of Investor Education and Advocacy, Office of the Chief Accountant and Division of Corporation Finance warned investors of the risks associated with investments in U.S.-listed companies with operations in China.