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

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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). ....

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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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Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets Director

Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets Director
Washington D.C. (Newsfile Corp. - December 15, 2020) - The Securities and Exchange Commission today announced that Brett Redfearn, Director of the SEC s Division of Trading and Markets, will conclude his tenure as Director by the end of the year after leading the Division for over three years.
Since joining the SEC in October 2017, Mr. Redfearn led the Division s 255 professional staff, including 168 attorneys, on a wide range of initiatives critical to the efficient and fair functioning of our trading markets and the protection of Main Street investors. Notably, Director Redfearn played a leading and essential role in coordinating the public and private sector efforts to maintaining fair, orderly, and efficient markets in March and April of 2020 when our markets faced unprecedented volatility and liquidity stresses. ....

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