Observations Related to Security-Based Swap Dealers

The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The Division further encourages security-based swap dealers to review and strengthen their policies, procedures, internal controls, and security-based swap reporting capabilities.

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.