On April 16, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert regarding Regulation S-P deficiencies found in recent examinations of...more
The Securities and Exchange Commission (SEC) recently adopted final business conduct rules for security-based swap dealers (SBSDs) and major security-based swap participants (MSBSPs) under Section 15F(h) of the Securities...more
5/27/2016
/ Business Conduct Standards ,
CFTC ,
Chief Compliance Officers ,
Commodity Exchange Act (CEA) ,
Counterparties ,
Cross-Border Transactions ,
Disclosure Requirements ,
Dodd-Frank ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps ,
Swap Dealers