Satish Kini of the Debevoise law firm will review the recent proposal by FinCEN to create a beneficial ownership registry (date and time of presentation to be determined). The invite for this presentation will be sent to the members of the FIF Compliance and CAIS Working Groups. To subscribe to either group, please either update your profile or email us at fifinfo@fif.com.
POSTED Jan 03,2022
On Thursday January 20 at 10am ET, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will provide an overview of the SEC’s recent rule proposal relating to electronic recordkeeping. The invite for this presentation has been sent to the members of the FIF Back Office Committee, the Compliance Working Group, the Cybersecurity Working Group and the Emerging Technologies Working Groups. If you are interested in attending this presentation and do not have the invite in your calendar, please either update your profile or email us at fifinfo@fif.com.
POSTED Jan 03,2022
On December 15, FIF and the FIF CAIS Co-Chairs participated on a call with representatives from the SEC and the CAT Operating Committee to discuss CAT CAIS reporting issues. During the call, the SEC staff requested that FIF provide feedback from FIF members on the challenges with reporting addresses at the CAT Customer level for accounts with multiple Beneficial Owners and reporting CAIS data for Authorized Traders. FIF has sent a survey to members of the CAIS Working Group on these topics. FIF requests that members respond to the survey on or before Monday, January 10.
POSTED Jan 03,2022
As of January 1, 2022, the CAT Committee will be renamed as the CAT Monthly Update Working Group and the CAT Tech Specs Working Group will be renamed as the CAT Transaction Reporting Working Group. This is intended to provide a clearer description of the functions of these groups. Starting in 2022, the CAT Transaction Reporting Working Group will meet on Wednesdays at 2pm ET; the Transaction Reporting Working Group will no longer meet on Mondays. The CAT Monthly Update Working Group will meet on Thursday, January 6 at 2pm ET. The CAT CAIS Working Group will continue to have its regularly scheduled calls on Wednesday and Friday each week.
POSTED Jan 03,2022
On December 23, 2021, FIF submitted a comment letter on a rule filing submitted by FINRA to the SEC (SR-FINRA-2021-030) to require firms to report new modifiers for delayed Treasury spot trades and portfolio trades that are reported to TRACE. FIF would like to thank the members of the TRACE Working Group for their contributions in the drafting of the comment letter.
POSTED Dec 27,2021
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