The CFTC extended the comment period until April 1, 2024, for a proposed rule that would require that futures commission merchants and swap dealers establish and maintain an "Operational Resilience Framework."
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An investment adviser settled SEC charges for disclosing to investors, potential investors and industry contacts material non-public information in violation of the adviser's policies and procedures.
The CFTC proposed a rule to require that futures commission merchants and swap dealers establish and maintain an "operational resilience framework" focusing on three components: information and technology security, third-party relationships and disruptions to standard business operations.
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
The SEC charged an alternative investment platform for misleading investors by failing to disclose "critical information" in an asset-backed securities offering.