Events listed in United States
OCC Issues Annual Report for 2023
ID 26183
The Office of the Comptroller of the Currency (OCC) has published its Annual Report 2023 which primarily informs of the current condition of the federal banking system, the key priorities of the regulator for both the past reporting period and the upcoming one, and of the key actions taken by the regulator to accomplish its goals. As far as the condition of the banking ...
Agency Information Collection Activities: Announcement of Board Approval under ...
ID 26175
The Board of Governors of the Federal Reserve System (FED) has published in the Federal Register its approval to extend for three years – with revisions – certain reporting requirements of foreign banking organizations (FBOs). The approval follows a corresponding prior consultation which was launched in June 2022 (please see EventID 15865 in this context for more information). Specifically, the FED will extend – ...
AgCon2024 Set for April 11-12
ID 26167
The US Commodity Futures Trading Commission (CFTC) has published a press statement to inform of the upcoming third Agricultural Commodity Futures Conference (AgCon2024) on April 11-12, 2024 in Overland Park, Kansas. As in the years before, the conference will be jointly hosted by the CFTC and the Center for Risk Management Education and Research (CRMER) at Kansas State University and aims to discuss „a ...
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; ...
ID 26163
The Securities and Exchange Commission (SEC) published in the Federal Register (requested) rule changes of the Financial Industry Regulatory Authority (FINRA) for public comment. As described in the Federal Register, FINRA proposes (proposed) to amend numerous rules to make conforming adjustments in relation to the SEC’s final regulation to shorten the standard settlement cycle for most broker-dealer securities transactions from two business days (T+2) ...
Human Rights-Related Designations; Issuance of Global Magnitsky Frequently Asked ...
ID 26152
The Office of Foreign Assets Control (OFAC) has published a press release to inform about new sanction measures. Specifically, the Office added 22 individuals to its Specially Designated Nationals and Blocked Persons List (SDN List) due to their engagement in human rights violations pursuant to existing sanction regulations (Executive Order 13818 and 31 CFR Part 583). The affected persons are listed below. ANDRE, Johnson ...
Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool ...
ID 26147
The U.S. Securities and Exchange Commission (SEC) has published new Form PF which will be valid through April 30, 2024 unless otherwise modified before. The form collects information aimed at monitoring systemic risk in the private fund industry, including hedge funds and privat equity funds. Form PF is a regulatory filing requested by the SEC under the Investment Company Act of 1940. It must ...
U.S. Treasury Department Updates Certification Application for Community ...
ID 26136
The U.S. Department of the Treasury (USDT) has issued a press release to inform of revisions to the Community Development Financial Institutions Fund’s (CDFI Fund’s) certification and application procedures (for a description of the CDFI Fund’s objectives, see the comment box below). Specifically, the procedures have been revised to reflect changes in the financial market ecosystem and to enhance clarity over the application and ...
Counter Terrorism Designations; Cyber-related Designations
ID 26131
The Office of Foreign Assets Control (OFAC) has published a press release to inform about new sanction measures. Specifically, the Office added six individuals and nine entities to its Specially Designated Nationals and Blocked Persons List (SDN List) pursuant to existing sanction regulations for their connection to Russia’s Federal Security Service (FSB) or the engagement in large scale phishing activities to the detriment of ...
Prohibition Against Conflicts of Interest in Certain Securitizations
ID 26122
As previously announced by the U.S. Securities and Exchange Commission (SEC) on November 27, 2023 (EventID 24177), the Commission has now published in the Federal Register its final rule to prohibit asset-backed securitization participants including sponsors, underwriters, or placement agents to engage in certain transactions that may cause a conflict of interest between themselves and investors in an ABS. As outlined in the rule, ...
Asset Management
conference / webinar
US Department of Labor publishes agenda for online hearing on proposed retirement ...
ID 26117
Following the announcement of an upcoming online hearing on December 12, 2023 and December 13, 2023 at 9:00 a.m. Eastern Standard Time with respect to its ongoing consultation on proposed revisions to the definition of „investment advice fiduciary“ in its rules under the Employee Retirement Income Security Act of 1974 (EventID 23651, EventID 23960), the Employee Benefits Security Administration (EBSA) has now published the ...