In this issue:
- NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers
- FINRA’s Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time
- Cayman Islands to Enter into a Model 1 IGA
- CFTC Grants Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression
- CFTC Grants Relief from Required Clearing for Partial Novation and Partial Termination of Swaps
- Court Rules FERC Does Not Have Authority to Fine Trader for Manipulation of Futures Contracts
- SEC Publishes Guidance on Filing Requirements for Interactive Content
- Court Rejects “Core Operations” Theory of Scienter in Battery Manufacturer Fraud Case
- SEC Oversight of FINRA Exempt from FOIA Request
- Banking Agencies Issue Guidance on Leveraged Lending
- Agencies Release Proposed Revisions to Interagency Questions and Answers Regarding Community Reinvestment
- FSA Publishes Second AIFMD Consultation Paper
- ESMA Publishes EMIR Q&As
- Excerpt from ESMA Publishes EMIR Q&As:
On March 20, the European Securities and Markets Authority (ESMA) published Questions & Answers (Q&A) relating to the implementation of the Regulation on OTC Derivatives, Central Counterparties (CCPs) and Trade Repositories (Regulation EU 648/2012, generally known as EMIR).
Please see full newsletter below for more information.
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