Participants in the EU-U.S. Joint Financial Regulatory Forum highlighted cross-border interagency coordination on (i) financial stability, (ii) climate-related financial risks, (iii) banking and insurance regulation and supervision, (iv) capital markets, (v) operational resilience, (vi) digital finance and (vii) AML/CFT compliance.
News & Insights
NFA permanently banned a former CPO/CTA for submitting uncertified liquidation and annual financial statements.
The CFTC Division of Swap Dealer and Intermediary Oversight exempted a futures commission merchant from certain audited financial reports requirements.
The CFTC Division of Swap Dealer and Intermediary Oversight granted exemptive relief to a commodity pool operator from the requirement to deliver to pool participants periodic account statements and an annual report prepared pursuant to U.S. Generally Accepted Accounting Principles.
The CFTC Division of Swap Dealer and Intermediary Oversight released two letters exempting commodity pool operators from providing periodic account statements and an annual report computed and presented pursuant to U.S. generally accepted accounting principles.