- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By 
Aaron Nicodemus2021-12-16T21:38:00
The SEC and its Democratic majority ushered in a slew of rulemaking proposals Wednesday that include new disclosure requirements for the security-based swaps market, mutual funds, and share buyback arrangements.
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The Securities and Exchange Commission voted to approve rule changes affecting money market funds that the agency hopes fare better than previous efforts in the space.
The Securities and Exchange Commission adopted two rules aimed at curbing potential misconduct in the security-based swaps market.
The Securities and Exchange Commission proposed a regulatory framework for security-based swap execution facilities that will require these entities to hire a chief compliance officer to oversee compliance with new rules.
Financial institutions holding Russian sovereign assets that have not reported them to the Treasury Department’s Office of Foreign Assets Control are now required to do so by Aug. 2.
Compliance officers should take note of proposed laws in the U.K. with the newly elected Labor government setting the legislative agenda in the King’s Speech last week, promising consultations on enhanced employee rights and a higher minimum wage.
Four federal banking regulators have joined the Treasury Department’s Financial Crimes Enforcement Network in issuing a notice of proposed rulemaking that would require financial institutions to conduct more thorough risk assessments on their anti-money laundering/countering the financing of terrorism programs.
