NFA adopted supervisory requirements and technical amendments concerning swap activities.
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13 News Results
IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products.
The Consumer Financial Protection Bureau granted no-action relief to an online lending platform from supervisory or enforcement action with respect to the Equal Credit Opportunity Act.
A FINRA hearing panel fined a New York State-based broker-dealer for supervisory failures and misrepresentations to issuers in connection with redemptions of debt securities on behalf of a customer.
The Office of the Comptroller of the Currency provided risk management guidance to banks and federal savings associations concerning high loan-to-value lending programs in communities that are targeted for revitalization.