The Financial Action Task Force updated the list of jurisdictions considered to have material deficiencies with respect to anti-money laundering or countering the financing of terrorism.
News & Insights
The SEC named Sarah G. ten Siethoff, Deputy Associate Director in the Division of Investment Management Rulemaking Office. Ms. ten Siethoff will develop rulemaking and policy recommendations, as well as oversee the management of rulemaking projects.
FINRA reminded member firms of the upcoming candidate nominations and elections process to fill seats on the District Committees and the Small Firm Advisory Board.
The CFTC initiated a civil enforcement action against an employee at a proprietary trading financial services firm for making false reports.
The Hong Kong Securities and Futures Commission granted CME Group authorization to provide OTC clearing and settlement services and to serve as a central counterparty in the territory. CME also obtained full recognition as a foreign central counterparty in Mexico.