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SEC Division of Examinations 2024 Priorities

The Securities and Exchange Commission (SEC)’s Division of Examinations (Division) announced its 2024 examination priorities (Exam Priorities) in…

Exchange commissionOffice of foreign assetsInvestment companiesDivision of examinationsFinancial technologyExam prioritiesRegulatory organizationsMunicipal advisorsSecurity based swap dealersTransfer agentsEmerging financialSystems complianceAdvisers actRegulation best interestNet capital ruleCustomer protection rule

Chill winds blow for Capitolis s equity swap platform

Fintech’s effort to revive off-balance-sheet funding runs into market and regulatory turbulence

District of columbiaUnited statesJames petersonGil mandelzisGary genslerAndreessen horowitzJustin klugKris devasabaiExchange commissionJp morganCantor fitzgeraldSequoia capitalIonic capitalNew york basedIonic capital trustCapital marketplace

Archegos, LME show swaps data blindspots – CFTC chair

Regulator is actively looking to beef up reporting and data aggregation capabilities for index swaps

Rostin behnamUs commodity futures trading commissionFunds associationFutures trading commissionManaged funds associationCommodity futures trading commission cftcNited states usSecurity based swapsSecurity based swap dealerSwap data reportingRisk management

Crypto market-maker B2C2 weighs US swap dealer registration

Isda AGM: Move would see firm become second crypto trading outfit to obtain designation

Nicola whiteInternational swapsDerivatives associationCommodity futures trading commission cftcSecurities and exchange commission secOver the counter otc derivativesSecurity based swap dealerSwap dealerDecentralised finance defiIsda agm 2022

Banks balk at SEC backloading rule

Reporting requirements for expired security-based swaps “not justified”, dealers say

Exchange commissionSecurities and exchange commission secFinancial services board fsbEuropean securities and markets authority esmaSecurity based swap dealerSecurity based swapsWap data repository sdrSwap data reportingDodd frank actOver the counter otc derivativesHistorical data

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