The SEC is proposing updates to rules and forms for registered transfer agents to better accommodate modern electronic recordkeeping and communication technologies. Compliance teams should prepare for changes in how market intermediaries manage data and documentation.
The Financial Conduct Authority (FCA) has established a dedicated Scale-up Unit to assist fast-growing firms in navigating complex regulatory hurdles during expansion phases. For compliance teams, this provides a structured pathway for discussing product innovations and policy impacts while maintaining high regulatory standards.
The SEC is proposing significant updates to transfer agent rules to modernize the regulatory framework for tokenized securities and combat microcap fraud. Compliance teams must prepare for a shift toward accommodating digital identifiers and enhanced anti-fraud measures within the securities ecosystem.
The SEC has proposed updates to modernize legacy rules for registered transfer agents that have remained largely unchanged since the 1970s and 80s. This move aims to integrate modern technological advancements, such as blockchain and electronic communications, into the national clearance and settlement system.
The SEC is hosting a roundtable to discuss the regulatory, operational, and infrastructure requirements necessary to transition toward 24-hour trading markets. This announcement signals an upcoming regulatory focus on market integrity, enhanced surveillance capabilities, and robust systems readiness during non-traditional hours.
The Federal Reserve is advocating for improved financial inclusion and entrepreneurial opportunities for individuals with criminal records to foster a more inclusive economy. For compliance professionals, this highlights an evolving focus on using alternative data and AI-driven underwriting to provide credit access to underserved populations while maintaining robust risk controls.
The Financial Conduct Authority has introduced new rules (COCON 1.1.7FR) and guidance (PS25/23) to address non-financial misconduct, such as bullying and harassment. Compliance teams must now integrate these broader conduct definitions into their internal policies and "fit and proper" assessment frameworks to mitigate reputational and operational risks.
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