United States: SEC Grants Substituted Compliance Determination For France - Cadwalader, Wickersham & Taft LLP

Mondaq

30 Jul 2021 0 shares 1 views

Mondaq

Published 30 Jul 2021

The SEC granted a substituted compliance determination for French-regulated security-based swap dealers.

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United States: SEC Commissioner Peirce Offers Recommendations To Increase Participation In The Financial Markets - Cadwalader, Wickersham & Taft LLP

Mondaq 27 Jul 2021

In an address before the FINRA Certified Regulatory and Compliance Professional Program, SEC Commissioner Hester M. Peirce..