The U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission issued a report Friday highlighting areas where the agencies’ regulatory schemes differ and recommending actions to harmonize their regimes.
The report includes 20 recommendations to enhance enforcement powers, strengthen market and intermediary oversight and improve operational coordination.
Over the past several months, the SEC and the CFTC have engaged in extensive discussions, including their first ever joint public meetings last month to solicit views from members of the investor community, academics, industry experts and market participants on the current regulatory scheme, harmonization of the agencies’ rules and recommendations for changes to statutes and regulations. These steps came after the White House released a white paper on regulatory reform in June calling on the SEC and CFTC to “make recommendations to Congress for changes to statutes and regulations that would harmonize regulation of futures and securities.”
“This report is another step forward in our effort to reform the regulatory landscape and ensure greater harmonization between our agencies,” said SEC chairman, Mary Schapiro. “I believe these recommendations will help to fill regulatory gaps, eliminate inconsistent oversight, and promote greater collaboration.”
CFTC chairman, Gary Gensler, said, “This is just one important step. Now we must continue to work together to implement these recommendations and work with Congress to secure necessary changes in statute to best protect the American public.”
IE
SEC, CFTC release report on harmonizing oversight
Report is another step forward in the effort to ensure greater harmonization between agencies
- By: James Langton
- October 18, 2009 October 18, 2009
- 15:30