Policymakers aim to address issues exposed in March 2020 market stress
BitMEX sanctioned in U.S. for anti-money laundering, KYC violations
Earlier decision requiring clearing broker to produce records overturned
ATS operator settles allegations of compliance shortcomings
SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime
Marex Capital Markets sanctioned in settlement with MX
CCIR, CISRO propose new guidance on the design, distribution of seg funds
Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs
Trio of firms sanctioned for regulatory reporting issues
SRO sets out common requirements, contemplates shift to annual CE cycle