From Vol. 1 No.3 (Mar. 17, 2008)
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- 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.