By Kyle Brasseur2023-05-18T15:47:00
The Securities and Exchange Commission (SEC) proposed a package of rule changes designed to enhance the risk management responsibilities and resilience of covered clearing agencies.
The proposal, announced Wednesday, seeks to amend existing rules regarding intraday margin and use of sources of information in a covered clearing agency’s risk-based margin system. If approved, the proposal would also establish new requirements for the contents of a covered clearing agency’s recovery and wind-down plans (RWPs).
“Today’s proposal would help ensure the continuity of clearing services during times of significant stress,” said SEC Chair Gary Gensler in a press release. “Well-regulated and well-managed clearinghouses help lower risk for the public.”
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.
2023-05-04T14:59:00Z By Aaron Nicodemus
The Securities and Exchange Commission passed new amendments requiring advisers to hedge and private funds to disclose events that could indicate systemic risk or investor harm, a move the regulator said will improve transparency within $20 trillion of market activity.
2023-05-01T19:05:00Z By Adrianne Appel
The Securities and Exchange Commission reopened the comment period on proposed changes to “modernize” its beneficial ownership rule, including shortening certain filing deadlines.
2025-10-03T21:24:00Z By Adrianne Appel
While the Trump administration may have shifted away from pursuing small, white-collar, financial crimes, its focus on health care fraud cases is as hot as ever.
2025-10-01T21:10:00Z By Neil Hodge
The U.K’.s financial regulator has given a strong indication that financial firms’ use of unauthorized devices and apps is under scrutiny and that policies around off-channel communications need to be tightened up.
2025-09-29T19:09:00Z By Adrianne Appel
Regulatory relief from anti-money laundering rules is in the cards for casinos, insurance companies and other non-bank financial institutions, the U.S. Treasury Department’s Treasury’s Financial Crimes Enforcement Network (FinCEN) said Monday.
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