Regulation
Financial regulation, compliance, and policy updates
111 articles
Basel Committee Advances ICT Risk Management Report and Cryptoasset Review
Basel Committee Advances ICT Risk Management Report and Cryptoasset Review The Basel Committee on Banking Supervision, meeting on 19–20 May 2026, made significant progress on several key initiatives, including the publication of a report on information and communication technology (ICT) risk...
ECB's Lane Discusses Europe's Role in the Global Economy
ECB's Lane Discusses Europe's Role in the Global Economy This speech by ECB Executive Board Member Philip R. Lane at the Asian Monetary Policy Forum in Singapore on 22 May 2026 examines the euro area's integration with the global economy and its implications for monetary policy. Key Policy Insights...
CFTC and NHL Collaborate to Enhance Integrity in Professional Hockey: A Landmark MOU
CFTC and NHL Collaborate to Enhance Integrity in Professional Hockey: A Landmark MOU On May 21, 2026, the Commodity Futures Trading Commission (CFTC) and the National Hockey League (NHL) announced a groundbreaking Memorandum of Understanding (MOU) aimed at bolstering the integrity of professional...
CFTC Sues Minnesota to Block State Law: Regulatory Clash Over Derivatives Oversight
CFTC Sues Minnesota to Block State Law: Regulatory Clash Over Derivatives Oversight The Commodity Futures Trading Commission (CFTC) has initiated legal action against the state of Minnesota, seeking to block a newly enacted state law that the federal agency claims infringes upon its exclusive...
FFIEC Seeks Public Comment on Proposed Revisions to Financial Institutions Rating System
FFIEC Seeks Public Comment on Proposed Revisions to Financial Institutions Rating System The Federal Financial Institutions Examination Council (FFIEC) has issued a request for public comment on proposed changes to the CAMELS rating system, which is used to assess the safety and soundness of...
CFTC Issues No-Action Letter on Data Reporting for Event Contracts: Key Implications for Market Participants
CFTC Issues No-Action Letter on Data Reporting for Event Contracts: Key Implications for Market Participants The Commodity Futures Trading Commission (CFTC) has issued a no-action letter concerning data reporting and recordkeeping requirements for event contracts. This decision, announced on May...
CFTC Asserts Exclusive Jurisdiction Over Prediction Markets in Sixth Circuit Amicus Brief
CFTC Asserts Exclusive Jurisdiction Over Prediction Markets in Sixth Circuit Amicus Brief The Commodity Futures Trading Commission (CFTC) has reaffirmed its exclusive jurisdiction over prediction markets in a recent amicus brief submitted to the Sixth Circuit Court of Appeals. This move underscores...
ECB's Elderson Urges Deeper European Integration for Prosperity
ECB's Elderson Urges Deeper European Integration for Prosperity In a keynote speech at the "Financing Europe: a new era of strategic investment" conference in Brussels on 12 May 2026, Frank Elderson, Member of the Executive Board of the ECB and Vice-Chair of the Supervisory Board, emphasized the...
New York Trader Sidney Lebental Fined $200,000 by CFTC for Spoofing in Treasury Futures Market
New York Trader Sidney Lebental Fined $200,000 by CFTC for Spoofing in Treasury Futures Market The Commodity Futures Trading Commission (CFTC) has imposed a $200,000 fine on Sidney Lebental, a trader based in New York, for engaging in spoofing activities in the treasury futures market. The CFTC's...
SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies The Securities and Exchange Commission (SEC) has announced a significant proposal that could reshape the landscape of financial reporting for public companies. On May 5, 2026, the SEC proposed amendments allowing...
Bank of Japan Maintains Overnight Call Rate at 0.75% Amid 6-3 Board Split on Inflation Risks
Bank of Japan Maintains Overnight Call Rate at 0.75% Amid 6-3 Board Split on Inflation Risks The Bank of Japan's latest monetary policy decision underscores a cautious approach to tightening amid persistent uncertainties. On April 28, 2026, the Policy Board voted 6-3 to keep the uncollateralized...
CFTC Sues New York Over Prediction Markets: A Battle for Jurisdiction
CFTC Sues New York Over Prediction Markets: A Battle for Jurisdiction In a significant move to assert its regulatory authority, the U.S. Commodity Futures Trading Commission (CFTC) has filed a lawsuit against the State of New York. The lawsuit, announced on April 24, 2026, challenges New York's...
CFTC Asserts Exclusive Jurisdiction Over Prediction Markets in Massachusetts Supreme Judicial Court Filing
CFTC Asserts Exclusive Jurisdiction Over Prediction Markets in Massachusetts Supreme Judicial Court Filing On April 24, 2026, the Commodity Futures Trading Commission (CFTC) reaffirmed its exclusive jurisdiction over prediction markets in a filing with the Massachusetts Supreme Judicial Court. This...
SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics
Summary The Securities and Exchange Commission (SEC), through its Division of Economic and Risk Analysis (DERA), has released comprehensive reports on Exchange Traded Funds (ETFs) and fund mergers, alongside updated statistics for municipal advisors, transfer agents, and security-based swap dealers
CFTC: Texas Resident to Pay Over $14 million for Misappropriation of Confidential Info
Summary The Commodity Futures Trading Commission (CFTC) has announced a significant enforcement action involving Matthew Clark, a Texas resident, who has been ordered to pay over $14 million for his involvement in misappropriating confidential information and engaging in illegal kickback schemes. Th
CFTC Designates Xchange Alpha LLC as a Contract Market
Summary The Commodity Futures Trading Commission (CFTC) has officially designated Xchange Alpha LLC as a designated contract market (DCM). This announcement was made public on February 2, 2026, marking a significant development in the regulatory landscape of U.S. commodity markets. Key Details Xchan
CFTC: CFTC Staff Issues Interpretation on Legacy Swap Status
Summary The Commodity Futures Trading Commission (CFTC) has released an interpretive letter from its Market Participants Division and Division of Clearing and Risk, clarifying the status of legacy swaps in the wake of an internal reorganization involving a merger at Morgan Stanley, a registered swap
SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
Summary The Securities and Exchange Commission (SEC) has filed charges against Archer-Daniels-Midland Company (ADM) and three of its former executives for accounting and disclosure fraud related to the financial performance of its Nutrition business segment. The charges include a settled action agai
Michael Selig Sworn In as 16th CFTC Chairman
Summary Michael S. Selig has officially been inaugurated as the 16th Chairman of the Commodity Futures Trading Commission (CFTC) on December 22, 2025. His appointment by President Donald J. Trump and subsequent confirmation by the U.S. Senate marks a significant leadership transition at a time when
CFTC Obtains Judgment Against Wisconsin Man for Fraud, Misappropriation Scheme
Summary The Commodity Futures Trading Commission (CFTC) has successfully obtained a consent order against Robert Narvett, a Wisconsin resident, for his involvement in a fraudulent scheme related to commodity futures trading. Announced on December 18, 2025, the judgment includes substantial financial
CFTC Acting Chairman Pham Announces Implementation of U.S. Treasury Market Reforms
Summary The Commodity Futures Trading Commission (CFTC), under the leadership of Acting Chairman Caroline D. Pham, has approved a proposed order to extend the cross-margining program currently operational between the Chicago Mercantile Exchange Inc. (CME) and the Fixed Income Clearing Corporation (F
FINMA Approves Merger of Supervisory Organizations
FINMA Approves Merger of Supervisory Organizations: A Step Toward Streamlined Oversight in Swiss Finance On November 27, 2025, the Swiss Financial Market Supervisory Authority (FINMA) announced its approval of a significant merger in the country’s financial regulatory landscape. The consolidation br
CFTC Chairman Pham Announces Withdrawal of Outdated Digital Assets Guidance
Summary The Commodity Futures Trading Commission (CFTC), under the leadership of Acting Chairman Caroline D. Pham, announced the withdrawal of prior guidance concerning the actual delivery of virtual currencies. This decision reflects the agency’s commitment to updating its regulatory approach in li
CFTC: Acting Chairman Pham Announces CEO Innovation Council Participants
Summary The Commodity Futures Trading Commission (CFTC) Acting Chairman Caroline D. Pham has unveiled the first group of participants for the newly established CEO Innovation Council. This initial cohort consists of leaders from major exchanges, tasked with discussing market structure developments i