In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
ISDA urged the SEC to exclude all derivative transactions from its proposed rule amendments that would require funds to provide disclosures as to greenhouse gas emissions.
NFA extended relief through the end of 2022 from the requirement to conduct on-site annual inspections of branch offices and guaranteed introducing brokers.
The CFTC Market Participants Division issued CPO and CTA registration relief to a company that acquires biopharmaceutical royalty interests and uses swaps to hedge its interest rate risk on floating rate debt used to finance the company's operations.
In an open meeting, the CFTC approved three final rules: (i) one concerning position limits for derivatives, (ii) one extending the Phase VI compliance date of the margin requirements for uncleared swaps for swap dealers and major swap participants, and (iii) one exempting certain foreign intermediaries from the requirement to register as CPOs.