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United States
Fintech / Regtech
SEC Targets Digital Investment Advisers with Proposed Rule Changes
By Editors | 31/07/2023
The US SEC is seeking to reform Internet adviser registration rules, proposing stricter requirements for digital investment platforms.
Securities / Derivatives
Chinese Firm Set to Stage First US IPO Under New CSRC Rules
By Editors | 31/07/2023
Chinese-based Majestic Ideal Holdings is inching towards becoming the first company to IPO in the US under newly-implemented rules for overseas listings.
Fintech / Regtech
US SEC Proposes New Rules on the Use of Predictive Analytics and AI
By Editors | 31/07/2023
SEC proposes new rules to address conflicts in broker-dealers’ and investment advisers’ use of predictive analytics and AI.
Crypto / Digital Assets
Accounting Firms Face Potential Liabilities in Crypto Audits: SEC Official
By Manesh Samtani | 30/07/2023
SEC Chief Accountant warns accounting firms of potential legal liabilities when auditing crypto firms, stressing the importance of auditor independence.
Crypto / Digital Assets
US Lawmakers Advance Bill on Stablecoin Regulation
By Editors | 29/07/2023
The ‘Clarity for Payment Stablecoins Act’ would have the Fed write requirements for issuing stablecoins but still preserve the authority of state regulators.
ESG / Sustainability
FSOC Meeting Highlights Urgent Need to Address Climate Risks
By Editors | 28/07/2023
Gary Gensler said the SEC will consider “appropriate” adjustments to its proposed climate risk disclosure framework.
Capital / Liquidity
US Regulators Propose Stricter Rules on Bank Capital
By Manesh Samtani | 28/07/2023
Fed governor Michelle Bowman said there is “insufficient evidence” that the benefits produced by the proposals would justify the costs.
Enforcement
BNP Paribas Braces for Fine Over Unauthorised Messaging Usage
By Editors | 28/07/2023
BNP Paribas said in its mid-year earnings report that it expects a fine from the CFTC and SEC.
Crypto / Digital Assets
US Lawmakers Advance Bills to Create Regulatory Clarity for Crypto
By Manesh Samtani | 27/07/2023
The ‘Financial Innovation and Technology for the 21st Century Act’ has now advanced in key committees in the US House of Representatives.
Big Picture
Publicly Traded Companies Globally Fall Short in Codes of Conduct: Study
By Ranamita Chakraborty | 27/07/2023
LRN’s study on 200 top-traded companies in Asia, Europe and North America found that only 17 percent of them had highly effective codes of conduct.
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