Comments on CFTC proposed rules on governance and conflict standards for Designated Contract Markets and Swap Execution Facilities are due on or before April 22, 2024.
News & Insights
A bank registered as a swap dealer and an introducing broker settled CFTC charges for recordkeeping and supervision failures.
A footwear company settled with the SEC for failing to make required disclosures of related person transactions in its annual reports and proxy statements.
The CFTC proposed new rules and amendments establishing governance and fitness requirements with respect to market regulation functions and conflict of interest standards at Designated Contract Markets and Swap Execution Facilities.
A firm settled with FINRA for failing to (i) supervise the use of personal email for business-related communications, (ii) retain certain business-related email communications and (iii) adopt written policies and procedures to safeguard customer records and information.