IOSCO is joining, in the capacity of "observer," a new Technical Expert Group tasked with the refinement of a prototype climate-related disclosure standard.
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In a risk alert, the SEC Division of Examinations highlighted compliance deficiencies with regard to AML policies and practices, and suspicious activity monitoring and reporting by broker-dealers.
The Alternative Reference Rates Committee provided a model for using the Secured Overnight Financing Rate in asset-backed securities products, including mortgage-backed securities and commercial mortgage-backed securities products.
Three firms settled separate but similar FINRA charges for failing to reasonably supervise recommendations by an "alternative" mutual fund.
At the U.S.-EU Joint Financial Regulatory Forum, Treasury and the staffs of U.S. regulatory agencies exchanged views on topics of mutual interest with EU participants.