WebMar 14, 2024 · The 2024 priorities are listed as: Cryptocurrency surveillance practices. Surveillance for disruptive trading (including DCMs’ rules, surveillance practices, … WebMar 15, 2024 · 9 See SEC, SEC Division of Examinations Announces 2024 Examination Priorities, Press Release 2024-39 (Mar. 3, 2024), ... We also expect the CFTC to continue focusing on market manipulation, including spoofing, on commodity See See CFTC, SEC Examination Priorities 2024. , C, SEC, ...
Swaps: Common Exam Findings & Reminders - nfa.futures.org
WebJun 30, 2024 · WASHINGTON—The Financial Crimes Enforcement Network (FinCEN) today issued the first government-wide priorities for anti-money laundering and countering the financing of terrorism (AML/CFT) policy (the “Priorities”), following consultation with other relevant Department of the Treasury offices, as well as Federal and State … Web7 hours ago · On February 7, 2024, the SEC's Division of Examinations (the "Division") announced its 2024 examination priorities to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets. Among the list of the Division's 2024 priorities, the Division ... building products sales jobs
US SEC examination priorities for 2024: what you need to know
WebMar 15, 2024 · priorities and the approach his administration will pursue with regard to regulatory action, has nominated former Commodity Futures Trading Commission … Web“Regulatory Developments,” 2024 Independent Directors Council Fund Directors Virtual Conference (October 2024, speaker) “Private Equity Compliance Update: Conflicts of Interest, Fees and Expenses, Nonpublic Information, and the New Marketing Rule,” Strafford CLE (February 2024, speaker) WebFeb 19, 2024 · In November 2024, the CFTC’s Division of Enforcement issued its annual report where it identified four of its priorities: preserving market integrity, protecting customers, promoting individual... building products online