June 29, 2023
The Federal Trade Commission (FTC) has updated the requirements of the Standards for Safeguarding Customer Information, known as the Safeguards...
The Federal Trade Commission (FTC) has updated the requirements of the Standards for Safeguarding Customer Information, known as the Safeguards...
If approved, the contracts will settle based on which political party controls the House and Senate. The CFTC is taking...
The CFTC’s Division of Clearing and Risk issued a staff advisory on review of risks associated with expansion of DCO...
The CFTC’s staff advisory encourages entities using prime brokerage arrangements to examine the specific nature of their activities for the...
LIBOR-Transition preparation efforts varied considerably depending on the type and amount of LIBOR exposure, with most firms examined having significant...
In remarks to the MFA, he discussed some of the reasoning behind the Commission’s pending proposals that affect how private...
The amendments advance the filing timeline in the case of a significant event, requiring large hedge fund advisers to report...
The SEC’s review of recent newly-registered adviser examinations identified issues in compliance policies and procedures, disclosure documents and filings, and...
NFA recently adopted NFA Compliance Rule 2-51, which imposes anti-fraud, just and equitable principles of trade, and supervision requirements on NFA...