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Key facts about the new UK draft rules for stablecoins and crypto custody
Proposals to bring fiat-referenced stablecoins into the UK regulatory perimeter including custody and a new prudential regime.
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European Commission proposes GDPR simplification for small mid-cap companies
Proposal to extend exemptions from GDPR record-keeping.
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MiFID onshoring continued: PRA Consultation Paper CP9/25
The consultation is relevant to PRA-authorized banks, building societies and designated UK investment firms.
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FINRA addresses collateral consequences of SEC recordkeeping enforcement
Public interest and investor protection cited as reasons to more closely align ongoing membership obligations by firms settling at different times.
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FINRA seeks public comment on the operations of modern workplaces
FINRA identified the modern workplace as an initial area of focus for its latest review, asking for specific comments from member firms.
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16 firms rebuffed by SEC in bid to revisit off-channel comms settlements
SEC says ‘no-can-do to’ the 16 financial firms that submitted a motion to have their recordkeeping settlements modified.
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FINRA fines Robinhood $26m for over a dozen rules violations
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.
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HSS dings research university for failure to provide timely access to patient records
HHS said the penalty marks OCR’s fifty-third HIPAA Right of Access enforcement action regarding patient access to medical records.