"I would like to proselytize how invaluable Form PF data has been in the hands of regulators seeking to stay abreast of an increasingly complex ...
"First, the Commission should evaluate the costs for disclosing the additional information. These costs include direct costs, such as fees paid to attorneys and other ...
"We have bank and nonbank intermediaries using leverage, particularly in the prime brokerage relationships, and when stress enters the system, the result can be instability"
"History is replete with times when tremors in one corner of the financial system or at one bank or financial institution spill out into the ...
"Regulators should be expected to exercise appropriate judgement in carrying out its investigative and sanctioning authority and to have an articulable basis for those decisions. ...
"Based upon the current market for security-based swaps, we expect that the entities that will register as security-based SEFs also are registered as SEFs with ...
"The proposal’s broad sweep could mean that firms would spend inordinate amounts of resources to identify all covered technologies, evaluate and test those technologies to ...
"I urge people who have suggestions about how the Commission can right its course on crypto and innovation more broadly, to send them my way"
"There’s also those cases that will garner the attention of lawyers, compliance officers, and the like, far beyond this room—and yes, often get reported by ...
"There are really three situations where the Commission typically brings enforcement actions against compliance personnel"