Regulatory Wrap episode 53: The CFTC’s new self-reporting matrix
In Regulatory Wrap for the week to February 28, Kathryn Fallah breaks down the CFTC’s new self-reporting matrix, which includes potential penalty reductions of up to 55%.
Regulatory Wrap Episode 33: SEC Transparency Leaves No Room for Doubt
In Regulatory Wrap for the week to June 21, Jay Hampshire highlights the sequence of events that demonstrate SEC transparency and the resulting compliance expectations the regulator has of firms.
Regulatory Compliance
Video