The FIF Rule 606 Working Group will meet on Tuesday, January 4 at 11am ET to discuss recent feedback from the SEC staff relating to Rule 606 reporting for options.
POSTED Jan 03,2022
Spotlight Presentation on Securities Lending Transparency
On Monday January 10 at 3pm ET, Ignacio Sandoval of the Morgan Lewis law firm will present a buy-side perspective on the SEC’s recent Securities Lending Transaction rule proposal. The invite for this presentation has been sent to the members of the FIF Securities Lending Transparency Working Group. To subscribe to this group, please either update your profile or email us at fifinfo@fif.com.
POSTED Jan 03,2022
Spotlight Presentation on FinCEN rule proposal to create a beneficial ownership registry
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
Spotlight Presentation on the SEC’s recent Electronic Recordkeeping Rule Proposal
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
CAIS Survey
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