Banking agencies offer roadmap on crypto-asset regulation. OCC clarifies permitted bank cryptocurrency activities. ECB issues report on climate and environmental risk management. SEC staff grants Australian SBSD relief from certain reporting requirements. FINRA proposes TRACE reporting and portfolio trade rule amendments. Oil company and founder settle SEC charges for executive compensation disclosure failures. Bad boy broker-dealer settles FINRA charges for failure to tape calls. Broker-dealer settles FINRA charges for mishandling customer limit orders. IOSCO recommends increased oversight of ESG ratings and data product providers. Deadline set for CFTC comment request on IBOR-related swap clearing requirement.
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