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 Division of Trading and Markets granted no-action relief to a security-based swap dealer, allowing the firm to incorporate "certain annual reports and reviews for the first fiscal year after the Firm’s registration . . . into the reports and reviews for the Firm’s second fiscal year."
A swap dealer settled NFA charges for disclosure, risk management, recordkeeping and supervision violations relating to the firm's value-at-risk and initial margin calculations.
The Committee on Payments and Market Infrastructures and IOSCO assessed the practices that central counterparties utilize when managing potential losses caused by non-default events, specifically in the context of recovery or orderly wind-down.
The SEC, the CFTC and the DOJ filed actions against a New York-based family office and certain of its principals for an alleged market manipulation scheme that resulted in billions of dollars in losses.