About a-team Marketing Services
The knowledge platform for the financial technology industry
The knowledge platform for the financial technology industry

A-Team Insight Blogs

SEC, CFTC Staffs to Host Roundtable to Discuss International Issues Relating to Dodd-Frank Act Title VII Implementation

Subscribe to our newsletter

The staffs of the Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) will hold a joint public roundtable on August 1 from 9 a.m. to 4 p.m. to discuss international issues related to the implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Panelists will be announced at a later date.

The roundtable will be held in the Conference Center at the CFTC’s Headquarters, Three Lafayette Centre, 1155 21st Street NW, Washington, D.C. The discussion will be open to the public with seating on a first-come, first-served basis.

Members of the public also may listen by telephone and should be prepared to provide their first name, last name and affiliation.

Listening information:

U.S. toll free: (866) 844-9416

International toll: (203) 369-5026

Passcode: 4316057

A transcript of the public roundtable discussion will be published on the CFTC’s website at http://www.cftc.gov/PressRoom/Events/2011/index.htmand on the SEC’s website at http://www.sec.gov/news/press/2011/2011-151.htm.

Members of the public wishing to submit their views on the topics addressed at the roundtable may do so by:

  • CFTC: through the CFTC’s Comments Online application.
  • SEC: by e-mail to rule-comments@sec.gov (all e-mails must reference file number 4-636 in the subject field) or through the comment form.

All submissions provided to the CFTC or SEC in any form may be published on the website of the respective agency, without review and without removal of personal identifying information.

Subscribe to our newsletter

Related content

WEBINAR

Recorded Webinar: Best practices for compliance with EU Market Abuse Regulation

EU Market Abuse Regulation (MAR) came into force in July 2016, rescinding the previous Market Abuse Directive and replacing it with a significantly extended scope of regulatory obligations. Eight years later, and amid constant change in capital markets regulation, technology and culture, financial institutions continue to struggle to stay on the right side of the...

BLOG

Citigroup Fine Shows Importance of Having Robust Data Setup

The US$136 million fine meted out to Citigroup for data irregularities dating back to 2020 should serve as a warning to all financial institutions that robust data management is essential to avoid sanctions amid tougher regulatory regimes. The Federal Reserve and Office of the Comptroller of the Currency (OCC) jointly imposed the penalty on the...

EVENT

AI in Capital Markets Summit New York

The AI in Capital Markets Summit will explore current and emerging trends in AI, the potential of Generative AI and LLMs and how AI can be applied for efficiencies and business value across a number of use cases, in the front and back office of financial institutions. The agenda will explore the risks and challenges of adopting AI and the foundational technologies and data management capabilities that underpin successful deployment.

GUIDE

Regulatory Data Handbook 2024 – Twelfth Edition

Welcome to the twelfth edition of A-Team Group’s Regulatory Data Handbook, a unique and useful guide to capital markets regulation, regulatory change and the data and data management requirements of compliance. The handbook covers regulation in Europe, the UK, US and Asia-Pacific. This edition of the handbook includes a detailed review of acts, plans and...