The UK Financial Conduct Authority fined a broker-dealer for reporting and oversight violations in relation to trades in exchange-traded derivatives. This was the first enforcement action issued under the European Market Infrastructure Regulation.
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The U.S. Department of the Treasury released a report critical of the Consumer Financial Protection Bureau arbitration rule.
The Managed Funds Association published a comparative analysis of U.S. and European Union derivatives trading regimes, and made recommendations for further cross-border harmonization.
The Depository Trust & Clearing Corporation published a framework for considering the impact of FinTech on finance and systemic risk.
CFTC Chief Innovation Officer and Director of LabCFTC Daniel Gorfine explained the purpose of the LabCFTC initiative and the agency's new orientation toward FinTech.