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Audits › Swap Dealers

Goodwin

SEC Revamps Broker-Dealer Recordkeeping Requirements; "Audit Trail" Alternative Replaces "WORM" Format

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The SEC recently adopted new recordkeeping requirements for broker-dealers and “SBS entities” (security-based swap dealers and major security based swap participants). Most notably, the SEC will no longer require...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Broker/Dealer Developments, CFTC and EU Developments

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BROKER-DEALER - Statement on Status of the Consolidated Audit Trail By Janet M. Angstadt and Dina Wegh on August 31, 2018 Posted in Broker-Dealer On August 27, the Securities and Exchange Commission’s Division of...more

Katten Muchin Rosenman LLP

CFTC Issues Interpretation Regarding Auditor Independence Standards

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On March 28, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight issued an interpretive statement regarding the auditor independence standards applicable to futures commission...more

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