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Derivatives Security Risk Assessments

Latham & Watkins LLP

CFTC Issues Request for Information on Climate-Related Financial Risk

Latham & Watkins LLP on

The agency will use the information to take further steps to address climate risks in the commodity derivatives markets. On June 2, 2022, the Commodity Futures Trading Commission (CFTC) issued a Request for Information...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more

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