Equitable Solution? SEC, CFTC Enhancing Cooperation

  • The SEC and CFTC entered into a mutual cooperation agreement that promises to encourage a stronger working relationship between the two key regulatory agencies with jurisdiction over structured financial products.
  • Practitioners should expect to see more coordination and solidarity from both the SEC and CFTC in reviews and investigations of new financial products.
  • Regulatory consolidation is consistent with trend of industry cross-border consolidation.

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