DeFi development carried quietly on throughout 2023, but DeFi protocols also faced significant hurdles. In the US, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) increased their...more
2/12/2024
/ Alternative Trading System (ATS) ,
Anti-Money Laundering ,
CFTC ,
Decentralized Finance (DeFi) ,
Enforcement Authority ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Innovation ,
Innovative Technology ,
Know Your Customers ,
Popular ,
Regulation ATS ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
UK
Welcome to Banking Bites! This is our short summary flagging key developments in the UK that we hope will inform your activities in your market. ...more
Recap of FINRA Rule 1017(a)(7) -
If you recall from our May 11th alert, effective September 1, 2021, FINRA Rule 1017(a)(7) will require a member firm to file a CMA when a natural person seeks to become an owner, control...more
8/31/2021
/ Applications ,
Bad Actors ,
Banking Regulators ,
Banking Sector ,
Banks ,
Broker-Dealer ,
Compliance ,
Continuation Applications ,
Criminal Records ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Members ,
New Regulations ,
Prudential Regulation Authority (PRA) ,
Registration Requirement