Fried Frank Harris Shriver & Jacobson LLP | USA | 30 May 2023
The CFTC Division of Clearing and Risk staff ("DCR") reminded derivatives clearing organizations ("DCOs") of the heightened compliance risks to those…
Fried Frank Harris Shriver & Jacobson LLP | USA | 30 May 2023
The comment deadline was officially set for the SEC's proposed (i) amendments to current requirements on clearing agencies' risk-based margin systems…
Fried Frank Harris Shriver & Jacobson LLP | USA | 26 May 2023
The OCC updated its guidance for examiners on assessing a bank's liquidity risk management practices. In a revised "Comptroller's Handbook" on…
Fried Frank Harris Shriver & Jacobson LLP | United Kingdom, USA | 26 May 2023
Since the 2008 financial crisis, the number of listed companies in the UK has fallen by 40%, whilst in the past decade the market cap of UK-listed…
Fried Frank Harris Shriver & Jacobson LLP | USA | 26 May 2023
The House Financial Services Committee voted to approve H.R. 2622, a bill that would amend the Advisers Act to codify expiring SEC no-action relief…
Fried Frank Harris Shriver & Jacobson LLP | USA | 26 May 2023
The SEC granted a further extension of the temporary exemptive relief previously issued to national securities exchanges and national securities…
Fried Frank Harris Shriver & Jacobson LLP | USA | 26 May 2023
A broker-dealer settled FINRA charges for overstating the projected yield and annual income for nine money market funds on customer account…
Fried Frank Harris Shriver & Jacobson LLP | European Union, USA | 25 May 2023
Cboe Europe notified the SEC of its intent to rely on no-action relief provided by the SEC for foreign options markets, its representatives and…
Fried Frank Harris Shriver & Jacobson LLP | USA | 25 May 2023
Senate Banking Committee Member Bill Hagerty (R-TN) and House Financial Services Committee Chair French Hill (R-AR) question the SEC about a letter…