Tag: Chief Compliance Officer

SEC 2024 Broker-Dealer Examination Priorities
Compliance

SEC Implements New Rules to Prevent Fraud and Manipulation in Security-Based Swaps

The US SEC has implemented new regulations to prevent fraud, manipulation, and deception in security-based swap transactions. This article explains the significance of the new rules and their implications for investors and reference entities, as well as the importance of protecting the independence and objectivity of chief compliance officers. The newly adopted antifraud and anti-manipulation rule will play a pivotal role in preventing misconduct, while the SEC’s publishing of the final rules in the Federal Register will give market participants sufficient time to comply.