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Division Of Exams Issues Risk Alerts On Safeguarding Customer Records At Branch Offices And LIBOR-Transition - Financial Services

The staff at the Securities and Exchange Commission's Division of Examinations (the "Division") conducts the SEC's National Exam Program. Recently, the Division issued two Risk Alerts...
Technology Risk Branch Office Risk Alert Office Risk Alert Division Of Examinations The Investor Communications Investment Companies Concerning
Source: mondaq.com

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Statement Of CFTC Commissioner Kristin N. Johnson On Extension Of Staff No-Action Letter Regarding Investments In Securities With Adjustable Rate Of Interest Benchmarked To SOFR

<p><span>Commission regulation 1.25 is a seminal provision governing futures commission merchant (“FCM”) and derivatives clearing organization (“DCO”)</span><span> investment of customer funds.  The regulation authorizes FCMs and DCOs to investment customer funds in a sensibly limited set of permitted investments consistent with the prudential objectives of preserving customer funds and maintaining liquidi...
New York United States Commodity Futures Trading Commission Federal Reserve Bank Market Risk Advisory Committee Adopts Regulations Under The Commodity Exchange

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