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Executive Shuffles at SEC & CFTC

January 5, 2021 by FTF News

Executive Shuffles at SEC & CFTC

SEC & CFTC Await New Chairpersons   The Trump administration has named an acting chairman for the SEC — Elad L. Roisman, an SEC commissioner — as the now-former Chairman Walter Joseph “Jay” Clayton III stepped down at the end of December, six months before his slated exit in June 2021. Clayton, a Trump team appointee,… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Ops Automation, Outsourcing, Reconciliation & Exceptions, Risk Management, Settlement, Diversity, Equity, and Inclusion (DEI), Artificial Intelligence, FinTech Trends, Back-Office, Standards, Performance Measurement, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News, People Moves Tagged With: automation, back office, CFTC, compliance, Heath P. Tarbert, know your customer (KYC), Northern Trust, operational risk, Pershing Square Capital Management, regulation, SEC, Securities Operations, Walter J. “Jay” Clayton III

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