- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Aaron Nicodemus2023-11-06T12:28:00
The Securities and Exchange Commission (SEC) approved new regulations for security-based swap execution facilities, part of the agency’s steady progress in implementing languishing rules from the Dodd-Frank Act of 2010.
Security-based swap execution facilities will be required to register with the SEC and submit to a regulation regime, the agency announced Thursday in a press release. The new regulatory regime will mitigate conflicts of interest in the security-based swap market and make it more transparent, said SEC Chair Gary Gensler.
It will also require those entities to hire chief compliance officers to oversee compliance with the new rules.
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2024-01-11T17:13:00Z By Aaron Nicodemus
A new risk alert from the Securities and Exchange Commission highlighted common deficiencies and weaknesses in the compliance programs of security-based swap dealers.
2023-11-28T14:25:00Z By Kyle Brasseur
The Securities and Exchange Commission moved quickly to adopt an unfulfilled mandate of the Dodd-Frank Act to prevent the sale of certain securities if there is a conflict of interest.
2023-11-16T19:54:00Z By Kyle Brasseur
The Securities and Exchange Commission continued its recent run of pushing through remaining regulations under the Dodd-Frank Act of 2010 by adopting new rules to mitigate conflicts of interest for security-based swap clearing agencies.
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Securities and Exchange Commission Chair Paul Atkins indicated he favors changing the agency’s requirement that only the wealthy can invest in so-called “closed-end” private equity funds and hedge funds.
2025-05-19T14:33:00Z By Adrianne Appel
The Department of Justice (DOJ) has shuttered a special Federal Bureau of Investigation (FBI) unit that focused on public corruption and whose legwork led to the special counsel investigation of President Donald Trump for trying to overturn the 2020 election results.
2025-05-19T14:09:00Z By Aaron Nicodemus
The Trump administration is preparing to ask the European Union to alter or water down its rules on content moderation on social media, claiming that they hurt the competitiveness of American technology companies.
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