Dodd-Frank Act
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OCC’s Gould calls for fundamental rethink of bank resolution planning
Gould’s critique aligns with the OCC’s broader recalibration toward narrower supervision and renewed focus on core regulatory functions.
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What international companies need to know about SEC cross-border fraud task force
The press announcement also warns that gatekeepers, particularly auditors and underwriters, will be under the SEC’s microscope.
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CFTC reaffirms registration framework for foreign exchanges
CFTC clarifies pathway for offshore exchanges to serve US traders under FBOT registration.
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SEC roundtable discusses executive comp disclosure requirements
At the event, speakers addressed the complexity and cost of regulations, plus the significance of disclosure to investor protection.
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SEC and CFTC whistleblower awards down in 2024
The authorities awarded whistleblowers close to $300m less in 2024 compared to 2023.
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SIFMA Annual 2024: Rostin Behnam on digital assets, betting markets and treasury clearing
Our latest report on keynote speeches at the recent SIFMA event in New York features CFTC Chair Rostin Behnam.
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The GRIP Files: Carl E Kennedy, partner at Katten and former regulator with the CFTC
Drawing on his deep experience of the financial services industry, Carl Kennedy talks about his work in both public and private service.
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SEC charges BD and affiliated IAs with violating Whistleblower Protection Rule
Charges revolve around impediments to whistleblowing and reporting functions.