In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
News & Insights
The SEC established a "Security-Based Swaps Joint Venture" among several divisions and offices to coordinate operations relating to security-based swap regulation and the oversight of security-based swap entities.
In a working paper published by the London School of Economics, Visiting Professor David Murphy recommended improvements to regulatory review, and used the requirement of mandatory clearing of OTC derivatives as a case study.
The Council of the European Union updated a proposal to require systemically significant foreign central counterparties to adopt the EMIR and adhere to regulation by the European Securities and Markets Authority and the European Central Bank.
SEC Commissioner Hester M. Peirce urged European and U.S. international organizations to take a more holistic approach when attempting to collaborate on and coordinate regulatory policies.