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SEC Swaps The Game: New Rules To Combat Fraud, Manipulation And CCO Undue Influence - Securities - Vimarsana News

SEC Swaps The Game: New Rules To Combat Fraud, Manipulation And CCO Undue Influence - Securities

Published: June 23, 2023

The Securities Exchange Commission (SEC) adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap (SBS) transactions and the entities that trade...

Source: mondaq.com
Related Topics:
Gary GenslerMarka ElstePeterb DriscollMarkt UyedaSecurities ExchangeAuthority NovSecurities Exchange CommissionSecurities Exchange ActExchange ActSecurities ActAdopting ReleaseInvestment AdvisersRules RegardingProhibitions Against FraudSecurity Based SwapsAgainst Undue InfluenceOver Chief Compliance OfficersProhibition AgainstUndue InfluenceChief ComplianceWith AuthorityPekin Singer Strauss AssetAdvisers Act
SEC Adopts Two New Rules to Combat Fraud - Vimarsana News

SEC Adopts Two New Rules to Combat Fraud

Published: June 22, 2023

The SEC adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap transactions and the entities that trade them, including a unique rule preventing undue influence over chief compliance officers.

Source: natlawreview.com
Related Topics:
Peterb DriscollGary GenslerMarkt UyedaMarka ElsteAuthority NovSecurities Exchange CommissionSecurities ExchangeSecurities Exchange ActExchange ActSecurities ActAdopting ReleaseInvestment Advisers ActRules Regarding Prohibitions Against FraudSecurity Based SwapsProhibition Against FraudUndue InfluenceChief Compliance OfficersWith AuthorityPekin Singer Strauss AssetAdvisers ActSecurity LawSecurity Based SwapChief Compliance OfficersUle 10 BSection 17a