FICC-GOV, FICC-MBS, NSCC, DTC ALERT! Counterparty Credit Risk Monitoring: Members are required to provide regulatory reports and other required financial information timely.
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SEC Charges 12 Firms for Recordkeeping Failures and Issues More Than $63 million in penalties.
Source(s):
* SEC Order - Blackstone Alternative Credit Advisors LP, Blackstone Management Paโฆ
* SEC Order - TPG Capital Advisors, LLC
* SEC Order - Kohlberg Kravis Roberts & Co. L.P.
* SEC Order - Apollo Capital Management, L.P.
* SEC Order - Carlyle Investment Management L.L.C., Carlyle Global Credit
SEC: Robinhood Securities failed to comply with Regulation SHO, the regulatory framework designed to address abusive short selling practices.
The Securities and Exchange Commission (SEC) announced today that Robinhood Securities LLC and Robinhood Financial LLC, collectively known as Robinhood, have agreed to pay $45 million in civil penalties to settle a series of charges stemming from significant regulatory violations in their brokerage operations. According to the SEC, the firms
CFTC Announces Departure of Clearing and Risk Director Clark Hutchison, who will depart the agency January 15th.
CFTC Announces Departure of Division of Clearing and Risk Director Clark Hutchison
The Commodity Futures Trading Commission (CFTC) has announced that Clark Hutchison, Director of the Division of Clearing and Risk, will leave the agency on January 15. Hutchison, who has held the position since July 2019, has played a