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SEC Issues Substituted Compliance Determination For France

SEC Issues Substituted Compliance Determination For France
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French republicGary genslerExchange commissionCommission substituted compliance orderCommission division of tradingEuropean unionSecurities exchangeOffice of derivativesFrench orderDodd frank actSecurities exchange actExchange actFrench autoritDes marchSubstituted compliance orderSecurity based swap dealers

SEC Issues Notice of Substituted Compliance Application And Proposed Substituted Compliance Order For United Kingdom And Reopens Comment Period For Notice And Proposed Substituted Compliance Order For France

SEC Issues Notice of Substituted Compliance Application And Proposed Substituted Compliance Order For United Kingdom And Reopens Comment Period For Notice And Proposed Substituted Compliance Order For France
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United kingdomAllison herren leeExchange commissionUnited kingdom financial conduct authorityCommission division of tradingEuropean unionSecurities exchangeOffice of derivativesDodd frank wall street reformConsumer protectionFinancial conduct authorityDes marchDodd frank titleChair allison herrenUnited kingdom regulatedSecurities exchange act

SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Re-Opens Comment Period for Notice and Proposed Substituted Compliance Order fo

SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Re-Opens Comment Period for Notice and Proposed Substituted Compliance Order fo
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United kingdomUnited statesFrances autoritAllison herren leeDc newsfile corpDivision of tradingOffice of derivativesUks financial conduct authorityExchange commissionEuropean unionSecurities exchangeUnited kingdoms financial conduct authorityWall streetDodd frank wall street reformConsumer protectionDes march

SEC Issues Substituted Compliance Order for Germany and Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for France

(1) Washington, D.C. (Newsfile Corp. - December 22, 2020) - The Securities and Exchange Commission voted to take two actions to advance implementation of security-based swap regulation under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. First, the Commission is publishing a final substituted compliance order in response to an application by Germany s Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin). In addition, the Commission is publishing a notice of application and proposed substituted compliance order in response to an application by France s Autorité des Marchés Financiers (AMF) and Autorité de Contrôle Prudential et de Résolution (ACPR).

United statesKostenloser wertpapierhandelHester peirceFinanzdienstleistungsaufsicht bafinJay claytonCommission orderDc newsfile corpCommission substituted compliance order for germanyOffice of derivativesExchange commissionEuropean unionCommission division of tradingSecurities exchangeDodd frank wall street reformConsumer protectionDes march

SEC gov | SEC Issues Substituted Compliance Order for Germany and Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for France

FOR IMMEDIATE RELEASE Washington D.C., Dec. 22, 2020 The Securities and Exchange Commission voted to take two actions to advance implementation of security-based swap regulation under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. First, the Commission is publishing a final substituted compliance order in response to an application by Germany’s Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin). In addition, the Commission is publishing a notice of application and proposed substituted compliance order in response to an application by France’s Autorité des Marchés Financiers (AMF) and Autorité de Contrôle Prudential et de Résolution (ACPR).

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