SEC outlines 2024 examination priorities
On October 16, 2023, the Securities and Exchange Commission’s (SEC) Division of Examinations (the Division) published its annual examination…
Source: lexology.com
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SEC Outlines 2024 Examination Priorities | Latham & Watkins LLP
The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October...
Source: jdsupra.com
Kaizen Reporting Wins 'Best Reporting Solution For CFTC Reporting' At The RegTech Insight Awards USA 2021
<p><span>Leading regulatory technology firm, Kaizen Reporting (Kaizen), has won 'Best Reporting Solution for CFTC Reporting' at the RegTech Insight Awards USA for its ReportShield™ Accuracy Testing service.</span></p>
Source: mondovisione.com
SEC Instructs SBS Entities On Document Submissions Under Financial Responsibility Rules - Finance and Banking
SEC .Division of Trading and Markets ("Division") staff instructed security-based swap ("SBS") entities on documentation submissions...
Source: mondaq.com