On June 19, 2015, SEC representatives participated in a SEC panel discussion in San Francisco regarding some of the SEC’s recent enforcement activities in the area of complex derivatives.  The event was hosted by San Francisco SEC Enforcement Alumni and the San Francisco Compliance Group.  The SEC panelists (speaking for themselves and not on behalf of the SEC) were:  Reid Muoio, Deputy Chief, Complex Financial Products Unit, Division of Enforcement; Brian Bussey, Associate Director for Derivatives Policy and Trading Practices, Division of Trading and Markets; and Cameron Hoffman, Senior Counsel, Division of Enforcement.
Continue Reading Take-aways from SEC’s Panel Discussion on Recent Enforcement Action in Complex Derivatives Area