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 | This week President Obama sent to Congress the Over-the-Counter Derivatives Market Act of 2009. The legislation provides both the SEC and CFTC with expanded powers to regulate the OTC derivatives market while requiring central clearing and trading of standardized OTC derivatives. New authority given to the SEC and CFTC includes rulemaking for business conduct, reporting and recordkeeping, setting position limits and implementing strict capital and margin requirements. FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. For more information about the firm, please visit www.frontlinecompliance.com.
FrontLine Compliance, LLC |
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