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Tuesday, January 05. 2021

SEC Issues Various Compliance Orders for France and Germany

The SEC voted on December 22, 2020 to take measures to further the enactment of security-based swap regulation pursuant to Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These actions reflect the latest in the SEC’s continuous efforts to engage with multiple agencies and non-US counterparts and prepare for the registration of security-based swap dealers in 2021. Continue reading "SEC Issues Various Compliance Orders for France..." »
Posted by
The Novaworks Team
in SEC at 10:21
(Page 1 of 1, totaling 1 entries)

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