/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2025-03-17-19-33-00-111-67d878ec4f30a3066fa64e5c.jpg)
On Friday, March 14, in Regulatory Notice 25-05, the Financial Industry Regulatory Authority (FINRA) proposed a new rule to address when...
On Thursday, the Consumer Financial Protection Bureau (CFPB) dropped its high-profile enforcement action against Acima in Utah federal...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2025-03-05-23-28-30-075-67c8de1e326b74f8042f60fe.jpg)
As we previously reported, in 2023 the New York State Department of Financial Services (NYDFS) amended its cybersecurity regulation, 23...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2025-02-24-15-45-40-807-67bc9424d971877f2f236d62.jpg)
Amidst a blitz of executive action, on February 18, President Donald Trump signed an executive order entitled “Ensuring Accountability...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2025-02-12-17-22-38-288-67acd8de685ebff1c0f23bec.jpg)
The new administration continues to shake up the financial services regulatory environment. The CFPB’s new acting director indicated...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2025-02-07-14-35-52-183-67a61a488f36814293e0d60a.jpg)
On 5 February 2025, the UK Financial Conduct Authority (FCA) published a policy statement (PS25/1) setting out its response and final...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2025-01-21-17-27-35-024-678fd907b95def77d32b7b3f.jpg)
Following the UK Financial Conduct Authority (FCA)’s February 2024 consultation on changes to its Enforcement Guide and publicising...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2025-01-07-15-19-51-540-677d46172d355056daba5590.jpg)
In 2014, the Joint Audit Committee issued a Regulatory Alert insisting that futures commission merchant (FCM) clearing members treat...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2024-11-22-21-36-07-934-6740f947942763af689558ce.jpg)
On November 22, the US Court of Appeals for the District of Columbia Circuit granted Alpine a preliminary injunction, ruling that the...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2024-11-21-19-59-17-461-673f9115d8531ea0647b366e.jpg)
Earlier today, the US District Judge Reed O’Connor in Fort Worth, Texas vacated the rule recently adopted by the Securities and Exchange...
/Passle/5fb3c068e5416a1144288bf8/MediaLibrary/Images/2024-11-19-05-41-28-254-673c25083578d9951b112697.jpg)
The 2024 US presidential elections may signal a shift in the Commodity Futures Trading Commission’s (CFTC or Commission) regulatory and...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2024-11-19-15-58-56-874-673cb5c09e69c3dc65f4c514.jpg)
The 2024 US elections may signal a shift in the policy orientation of other federal financial regulators, but at the Commodity Futures...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2024-10-22-19-46-42-611-67180122734716aefbd8af1b.jpg)
As we previously reported, in 2023 the New York State Department of Financial Services (NYDFS) amended its cybersecurity regulation, 23...
/Passle/5fb3c068e5416a1144288bf8/SearchServiceImages/2024-09-24-15-31-28-828-66f2db5084775f0b287ea6f1.jpg)
On 4 September, the Financial Conduct Authority (FCA) published a website seeking feedback (Consultation) on draft questions and answers...
/Passle/5fb3c068e5416a1144288bf8/MediaLibrary/Images/2024-08-15-15-18-13-628-66be1c357c1fc86ef75a1a06.jpg)
The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in...
/Passle/5fb3c068e5416a1144288bf8/MediaLibrary/Images/2024-08-08-20-51-45-335-66b52fe1fb7787640143c05c.jpg)
Cybersecurity continues to dominate headlines, concern investors and have substantial and very real implications for asset and wealth...