regulators Archives - The Industry Spread

Canadian Securities Regulators Introduce Guidance for Flexible Chief Compliance Officer Arrangements for Businesses

July 7, 2020

Toronto –The Canadian Securities Administrators (CSA) today announced guidance that will allow firms to implement more flexible chief compliance officer (CCO) arrangements that better align with their operational needs and business …

Canadian Securities Regulators Collaborate to Protect Investors and Enforce Securities Law: CSA Fiscal Year 2019/20 Enforcement Report

June 25, 2020

Montreal – The Canadian Securities Administrators (CSA) today released its fiscal year 2019/20 Enforcement Report, which outlines how securities regulators are protecting investors and the integrity of Canada’s capital markets. Highlights from …

CFTC and SEC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral MOU Concerning Cross-Border Enforcement

May 25, 2019

At the 44th Annual International Organization of Securities Commissions (IOSCO) Conference in Sydney, Australia, the Chairmen of the U.S. Commodity Futures Trading Commission (CFTC) and the U.S. Securities and Exchange Commission (SEC) participated in a signing ceremony on May 15 for the IOSCO Enhanced Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (EMMoU).

FIA Launches Podcast to Feature the Issues, People and Trends of the Global Futures, Options and Derivatives Industry

May 11, 2019

FIA today launched FIA Speaks—a podcast to provide greater insight into the people, major topics and trends in the global futures, options and derivatives industry. FIA Speaks will feature executives, regulators, industry experts and business visionaries that explore the issues and the trends of the industry. FIA Speaks will be hosted by FIA President and CEO Walt Lukken with contributions from other FIA senior staff members.

FIA Names Bruce Savage as Head of Europe

May 7, 2019

FIA President and CEO Walt Lukken today named Bruce Savage as the new Head of Europe. Savage, who will join FIA this summer, has spent 21 years with Deutsche Bank in a variety of roles, most recently as the bank’s Global Head of Regulatory Affairs & Market Structure, Listed Derivatives & Markets Clearing. He has been an active member of FIA, recently serving on the association’s board of directors and as a member of the European Regional Advisory Board.