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
14 News Results
Numerous buy-side trade associations requested additional time to comment on the SEC's proposed regulation of private fund advisers.
In three separate notices, NFA reminded (i) futures commission merchants, forex dealers, and introducing brokers, (ii) CPOs and CTAs, and (iii) swap dealers on reporting requirements, and common deficiencies in regulatory compliance.
The SEC Division of Examinations outlined areas of focus concerning digital asset securities for future examinations.
A New York investment adviser settled SEC charges for concealing losses and selling fake loan assets to clients.