ISDA, FIA and the FIA European Principal Traders Association raised concerns regarding the impact of proposals forming part of the European Commission’s review of the EU central securities depositories regulation and its mandatory buy-in regime.
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The SEC revised the Electronic Data Gathering, Analysis, and Retrieval System Filer Manual relating to electronic and remote online notarizations.
The New York Department of Financial Services advised insurance companies writing cyber insurance to establish a formal cyber insurance risk strategy proportionate to the insurer's risk, taking account of the insurer's size, resources, geographic distribution and market share and the industries insured.
In a letter to New York State officials, SIFMA and 26 other organizations expressed opposition to "any form" of a New York State Stock Transaction Tax.
The former CEO and chief financial officer of a Flexible Spending Account services company settled SEC charges for making material misstatements and omissions that resulted in the company's improper recognition of revenue.