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SIFMA says more than 90 participants tested its disaster prep plans
The testing involved simulated trading, post-trade activity, and regulatory trade reporting.
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FINRA on incorporating AI into surveillance, risk reviews
FINRA uses AI for market surveillance and conducting firm risk reviews, and it assumes you are using it for your oversight needs too.
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FCA to supervise financial services firms for AML/CTF compliance
Proponents of the announcement believe it will help prevent money laundering; critics argue the FCA may not have the capacity to do a supervisory job.
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US regulators nix agency principles for managing climate-related financial risk
Current staff believe that the climate principles established just two years ago may distract large financial institutions from managing material risks.
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Which? declares insurance market “broken” in formal super-complaint to FCA
Which? takes extraordinary step of using its statutory powers to submit a super-complaint to the FCA over its concerns about home and travel insurance.
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New York describes benefits of blockchain analytics for banks
NYDFS guidance directs banks to use blockchain analytics tools to mitigate money laundering and sanctions evasion risk if they’re conducting cryptocurrency-related transactions.
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SEC won’t bar arbitration mandates in IPOs
The move to easing the IPO registration processes comes as appointees of the Trump administration embrace a business-friendly stance.
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Canada’s CIRO releases its annual report for 2025 fiscal year
CIRO is the pan-Canadian self-regulatory organization that oversees investment dealers, mutual fund dealers, and trading activity on Canada’s debt and equity markets.