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On May 7, 2024, the Office of the National Cyber Director (ONCD) released the 2024 Report on the Cybersecurity Posture of the United...
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After five years of consultations, public meetings and roundtable discussions, the Commodity Futures Trading Commission (CFTC or...
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On September 19, 2024, Governor Gavin Newsom of California signed three bills designed to address the ethical concerns surrounding...
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On September 12, 2024, the first tranche of amendments to the Privacy Act 1988, referred to as the Privacy and Other Legislation...
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On September 22, 2024, Arkansas City was hit by a cyberattack at its water treatment facility. The Federal Bureau of Investigation and...
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On 4 September, the Financial Conduct Authority (FCA) published a website seeking feedback (Consultation) on draft questions and answers...
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On 11 September 2024, the Property (Digital Assets etc) Bill (Bill) was introduced to the House of Lords and received its first reading....
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In the latest TMA Chicago Midwest Podcast episode, I sat down with Sandy Prabhakar, Managing Director at Armory. As an investment banker,...
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The Commodity Futures Trading Commission (CFTC) continues to expand its regulatory reach in the decentralized finance (DeFi) space, this...
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On August 28, the US Department of the Treasury’s (Treasury Department) Financial Crimes Enforcement Network (FinCEN) issued a final rule...
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The Financial Conduct Authority (FCA) has recently published its Policy Statement on Payment Optionality for Investment Research...
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The new Corporate Sustainability Reporting Directive the “CSRD” was adopted by the EU in April 2021 to meet its Paris Agreement climate...
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In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash...
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The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in...
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The FTC has finalized its new rule banning fake consumer reviews. The rule, which will become effective in October, prohibits selling or...
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In a setback to the Securities and Exchange Commission’s (SEC) crypto enforcement efforts, a federal court has denied the agency’s...
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Cybersecurity continues to dominate headlines, concern investors and have substantial and very real implications for asset and wealth...