SEC News Feed

• Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
• SEC Announces 2019 Government-Business Forum to Be Held in Omaha
• SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
• David Peavler Named Director of Fort Worth Office
• SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant

Securities Docket News Wire

• KPMG to Pay as Much as $50 Million to Settle SEC Probe – WSJ
• A Swift Kik Or A Slow Roll? Crypto Lawyers Address Tough Questions About SEC V. Kik Interactive Inc.
• House Panel OKs Approps Bill Hiking SEC Enforcement Funding
• The Largest SEC Whistleblower Award in History: One Year Later | New York Law Journal
• Bigger M&A deals mean more insurance claims, AIG finds | Financial Times

CFTC Press Releases

American Banker Law & Regulation

• CU consortium to forgive student loans under CFPB order
• Truist's rough landing, BB&T-SunTrust opportunist, AML cheat sheet: Top stories of the week
• Goldman, Stripe execs spar on future of financial services
• Bankers rattled as nonbanks' CRE lending spikes
• Fully automated compliance is big hurdle for this fintech's APIs

DerivAlert Derivatives Regulation News

FINAlternatives Regulation News

• Survey Reveals Investment Managers' Greatest Challenge with MiFID II
• Amundi Announces Absorption Of MiFID II Research Costs
• Toomey: Carried Interest Likely To Be Addressed In Senate Tax Plan
• SEC Grants 30-Month Reprieve On MiFID II Research Requirements
• Man Group Reverses MiFID II Research Decision, Will Absorb Costs

CCH Financial Reform News Center

• OIG issues 'Semiannual Report to Congress'
• CFPB blog post discusses making and sticking to a budget
• Mortgage lender to pay $1.75M over alleged incorrect HMDA reporting
• CFPB requests renewal of information collection regarding institutions without deposit insurance
• CFPB sues credit repair companies over alleged violations of Telemarketing Sales Rule

MyCorporateResource Financial Services

WebCPA Regulation Channel

Payments Source Regulation

• Goldman, Stripe execs spar on future of financial services
• Accept cash, credit card or mobile payment? Government wants a say
• Facebook's Libra is biggest test yet of crypto payments' viability
• Dutch banks begin migration to shared ATM network
• 3-D secure takes the security/friction balance out of the dark ages

The BD/IA Regulator

• Self-Regulatory Organizations and the Constitutional Privilege Against Self-Incrimination
• New SEC Privacy and Cybersecurity Risk Alert Tells Broker Dealers and Investment Advisers Common Deficiencies to Avoid
• SEC Announces Settlements Resulting from the Share Class Selection Initiative
• The SEC Continues to Spread Sunshine on Private Equity: Reflections on Two Recent Enforcement Actions
• FINRA’s 2019 Risk Monitoring and Examination Priorities Letter Highlights Broker-Dealer Online Distribution Platform Activities

Reuters: Financial Regulatory Forum

The Hill: Banking/Financial Institutions

• Trump warns of 'market crash' if he loses in 2020
• On The Money: DOJ offers legal opinion backing refusal to release Trump tax returns | Centrist Democrats raise concerns over $15 minimum wage | Trump bashes Powell ahead of crucial Fed meeting | Design leaks for Harriet Tubman $20 bill
• Justice releases legal opinion backing Treasury's refusal to release Trump tax returns
• Financial disclosure form shows Ivanka Trump earned $4M from DC Trump hotel
• Trump reverses on possible Xi meeting: 'It doesn't matter' if he shows up at G-20

NYT Dealbook – Legal/Regulatory

• British Regulator to Examine Competition in Investment Banking
• Women and Minorities Make Slight Gains at Law Firms
• U.S. Announces Third Bitcoin Auction
• 8 Tax Loopholes the Obama Administration Could Close
• A Call for Law Firms to Go Public

Jim Hamilton – Securities Regulation

• Disclosure issues dominate PLI panel on SEC Corp Fin issues
• Chairman Giancarlo bids swaps industry farewell at FIA IDX conference in London
• IPOs are keeping pace with 2018 through first five months
• ICI recommends improvements for fund proxy processes
• SEC adopts amendment to single issuer exemption for broker-dealers