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 CFTC charged multiple entities for falsely claiming to be registered with the CFTC and NFA in connection with commodities offerings.
The SEC set an effective date of August 29, 2023 for final rules aimed at preventing fraud and manipulation involving security-based swaps transactions. The new rules include an amendment to prohibit undue influence on security-based swap dealers' chief compliance officers.
The SEC adopted final rules aimed at preventing fraud and manipulation involving security-based swaps transactions and an amendment to prohibit undue influence on security-based swap dealer chief compliance officers.
The CFTC Division of Market Oversight granted no-action relief as to swap trade execution requirements related to ICE Clear Europe Ltd. discontinuing CDS clearing services in October 2023.