Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 6

26 Nov 2019

In this issue of Structured Thoughts, we discuss:

  • European Commission consultation on EU benchmark regulation
  • FINRA: Suitability and sales practices remain an issue
  • SEC charges Switzerland-based dealer for selling unregistered security-based swaps for bitcoins
  • Regulators propose delay in initial margin phase-in for swaps with certain financial end users
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