Julie DiMauro53 min listen
GRIP2 min read
Jean Hurley2 min read
This compliance requirement includes any regulations promulgated under that Act.
A key requirement is for the firm to implement a customer identification program as part of their overall compliance program.
Our in-brief roundup of notable stories from the last week.
GRIP2 min read
Key challenges to ensuring the credibility of carbon credits and steps the government can take to promote market integrity and transparency.
The SEC and CFTC recently convened a joint roundtable in Washington, D.C. to address how to modernize oversight between America’s financial markets regulators.
Alexander Barzacanos3 min read
Discussion highlights include execution gaps, shifting compliance roles, and emerging global risks.
Alexander Barzacanos3 min read
Acting Chair Caroline Pham invited public input on allowing tokenized assets to serve as collateral in regulated derivatives markets.
Alexander Barzacanos1 min read
In three days the CFTC withdrew three rules, citing duplication and confusion while leaving core obligations intact.
Vlada Gurvich4 min read
A CFTC no-action letter means that the commission will not take enforcement action against the JSCC for clearing swaps for US clients and US customers will gain access to better pricing and liquidity.
Hameed Shuja2 min read
Our in-brief roundup of notable stories from the last week.
GRIP2 min read