Markets
SEC, Japan FSA Dialogue Targets Cross-Border Market Risks
U.S. and Japanese regulators discussed public and private markets, asset management and innovation at an October 19 dialogue.
Regulation
News
FinCEN Flags $270M in Suspected Federal Student Aid Fraud
FinCEN identified about $270 million in suspicious activity tied to federal student aid fraud and referred the findings to investigators.
Analysis
EminiFX Ponzi Scheme Orders Exceed $288M, CFTC Says
CFTC court orders require EminiFX and founder Eddy Alexandre to pay more than $288 million after investors contributed over $262 million.
Analysis
FTC Sets Five-Year Rules for Publicis $2.2B LiveRamp Deal
The FTC proposed access, firewall and audit conditions for Publicis’ $2.2 billion acquisition of audience-data provider LiveRamp.
Analysis
SEC Super Intelligence Roundtable Puts Financial Data in Focus
The SEC’s November 9 roundtable will examine machine-understandable financial data, market uses, implementation costs and AI-era risks.
Analysis
CPMI-IOSCO Guidance Tightens FMI Business-Risk Planning
CPMI and IOSCO finalized guidance on business losses, liquid equity resources, governance and recovery planning for financial market infrastructures.
Analysis
Basel AML Review Finds Manual Work Persists as AI Expands
A Basel review of 19 jurisdictions finds AML supervision still relies on manual work as banks and regulators expand AI-based transaction monitoring.
Markets
Digital Euro Pilot Set for 12 Months in Late 2027
The ECB plans a 12-month internal digital euro pilot from the second half of 2027, subject to EU lawmakers adopting the enabling regulation.
News
FCA Revokes Four LIBOR and EURIBOR Trading Bans
The FCA revoked four LIBOR and EURIBOR-related trading bans after appeal rulings overturned the convictions supporting its action.
Markets
EU T+1 Settlement Deadline Puts October 2027 Testing in Focus
Europe will move securities settlement to T+1 on October 11, 2027, as ESMA urges firms to begin full-chain testing now.