Amy Lynch discusses SEC Enforcement trend in current political environment (InvestmentNews)
FrontLine Compliance

In July, the CFTC issued a Staff Advisory on Chief Compliance Officer (CCO) Reporting Lines. The letter was addressed to swap dealers, major swap participants, and future commission merchants. However, the major points of this letter ring true for any regulated entity with a CCO. The Commodity Exchange Act (CEA) regulations regarding the role of…