Working Together is Working Better, Remarks of Acting Chairman Caroline D. Pham, SEC-CFTC Joint Roundtable on Regulatory Harmonization Efforts
Why this matters
This speech from the CFTC Acting Chairman discusses regulatory harmonization efforts between the SEC and CFTC, which is relevant for firms operating in the banking, capital markets, and crypto/digital asset sectors. Key topics covered include prudential requirements, technology/cyber, and licensing/authorization, which are important for banks, broker-dealers, and crypto exchanges.
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What the CFTC said
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Context
Commodity Futures Trading Commission (CFTC) — Regulates US derivatives markets. We track 200 updates from them.
US financial regulation is overseen by multiple agencies including the SEC, CFTC, Federal Reserve, OCC and FDIC. Browse all United States updates.
This update is classified under Prudential / Capital Requirements, Technology & Cyber, Authorisation & Licensing and Banking & Credit.