Washington Report 360 | November 8, 2019

SEC proposed two amendments to its proxy rules; SEC Division of Enforcement Annual Report spotlights 30-year high for enforcement actions

Key highlights

  • The FATF published a report on best practices for identifying the beneficial owner(s) of legal persons and outlines key features of an effective system.
  • Five federal agencies proposed amendments to the swap margin rules that would eliminate initial margin for uncleared swaps with affiliates.

Financial services legislative and regulatory news


Capital Markets


Industry news