Regulatory Updates
Caroline D. Pham Appointed Acting Chairman of US CFTC
On 20 January 2025, the United States Commodity Futures Trading Commission (US CFTC) has unanimously appointed Commissioner Caroline D. Pham as...
US SEC Sanctions LPL Financial with $18 Million Fine for AML Violations
On 17 January 2025, the United States Securities and Exchange Commission (US SEC) published an order instituting administrative and cease-and-desist...
US SEC Announces Departure of International Affairs Director YJ Fischer
On 16 January 2025, the United States Securities and Exchange Commission (US SEC) announced the departure of YJ Fischer, Director of the Office of...
US SEC Charges Two Sigma with Failing to Address Model Vulnerabilities, Imposes $90 Million Penalty
On 16 January 2025, the United States Securities and Exchange Commission (US SEC) announced order instituting administrative and cease-and-desist...
ASIC Appoints Scott Gregson as CEO during Organisational Transformation
On 16 January 2025, the Australian Securities and Investments Commission (ASIC) announced the appointment of Scott Gregson as its new Chief...
Swiss FINMA Published Guidance on Reporting for Collective Investment Schemes
On 13 January 2025, the Swiss Financial Market Supervisory Authority (FINMA) released updated guidance on reporting requirements for collective...
Latvia’s Central Bank ‘Latvijas Banka’ Opens Applications for EU MiCA Licensing for Crypto Asset Service Providers
On 2 January 2025, Latvia's central bank, Latvijas Banka, officially began accepting applications for the EU Markets in Crypto-Assets (MiCA)...
Gary Gensler Reflects on His Tenure in Final SEC “Office Hours”
On 16 January 2025, Gary Gensler, Chair of the United States Securities and Exchange Commission (US SEC), released the final episode of his Office...
IOSCO Publishes Final Report on Initial Margin Transparency in Centrally Cleared Markets
On 15 January 2025, the International Organization of Securities Commissions (IOSCO), in collaboration with the Basel Committee on Banking...
US CFTC and Bank of England Collaborate on Report Enhancing Margin Practices in Cleared Markets
On 15 January 2025, the United States Commodity Futures Trading Commission (US CFTC) and the Bank of England issued statements on the release of...
US SEC Chief Economist Jessica A.Wachter to Depart, Returning to Academia
On 15 January 2025, the United States Securities and Exchange Commission (US SEC) announced the upcoming departure of Jessica A. Wachter, Chief...
US CFTC Announces Departure of Clearing and Risk Director Clark Hutchison
On 13 January 2025, the United States Commodity Futures Trading Commission (US CFTC) announced the departure of Clark Hutchison, Director of the...