Tag: FSOC
SEC Fines Adviser for Failing to Comply with Trade Aggregation Policies
SEC Fines Adviser for Failing to Comply with Trade Aggregation Policies November 25, 2019 The SEC censured and fined a Chicago-based investment adviser $50,000 for failing to comply with...
November 25, 2020
CFTC Reduces Filing Burdens for CPOs, Formalizes Agreement with FSOC to Provide Form CPO-PQR Data
Recognizing that “[o]ur credibility as a regulator is strengthened when we honestly admit that our regulations ask for data that we both have not used effectively and have no intention...
October 08, 2020
Final FSOC Guidance Primarily Takes Activities-Based Approach to Systemic Risk
Final FSOC Guidance Primarily Takes Activities-Based Approach to Systemic Risk December 18, 2019 After years of debate, the Financial Stability Oversight Council (FSOC) has approved final interpretive guidance regarding...
December 18, 2019
Tags: FSOC, SIFIs, Systemic Risk
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
