"Will subjecting every interaction between employees and a CCO to potential legal liability empower the CCO to do her job or simply make employees less ...
The "final rule does not contain any safe harbor for hedging activities arising out of lending activities"
"The integrity of the swaps market depends on CCOs being able to perform this role free from coercion, threats, manipulation, and any other form of ...
"To better address pricing and reduce dilution in times of stress, we proposed so-called swing pricing as well as alternatives regarding liquidity fees. Such swing ...
I am incredibly proud of the Division’s work in the first 16 months of my tenure. During that time, IM’s rulemaking staff have drafted rule ...
"As to artificial intelligence, this technology already is playing a part in call centers, account openings, compliance programs, trading algorithms, sentiment analysis, robo-advisers, and brokerage ...
"I’m optimistic that the Commission’s updated cybersecurity rules will result in market participants taking the necessary and reasonable steps to protect their information systems from ...
"Given the increase in U.S. interest in international investments, the SEC should be respectful of the differing regulatory regimes developed by foreign jurisdictions"
It "might go without saying, but there would be quite a raging fire if the U.S. Treasury were to default on the debt"
Recent "failures by certain U.S. regional banks have raised questions as to whether those boards had sufficient knowledge and appreciation of interest rate risks associated ...