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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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Cybersecurity continues to dominate headlines, concern investors and have substantial and very real implications for asset and wealth...
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On July 3, the Financial Crimes Enforcement Network (FinCEN) published a proposed rule (the Proposal) to strengthen and modernize...
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The CME has issued a revised Market Regulation Advisory Notice on Supervisory Responsibilities for Employees and Agents that includes a...
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On May 13, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes Enforcement Network...
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On April 15, the Department of Justice (DOJ) publicly released a memorandum fleshing out its previously announced corporate whistleblower...
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On March 6, 2024, by unanimous vote, the Securities and Exchange Commission (SEC) adopted changes to Rule 605 under Regulation NMS, the...
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Just under 10 years ago, the Joint Audit Committee launched a shot across the bow of the futures industry with this seemingly innocuous...
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As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a...
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On February 6, 2024, the Securities and Exchange Commission (SEC) adopted two new rules that expand who may be considered a dealer or a...
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FINRA filed a rule amendment with the SEC on January 2 to propose amending FINRA Rule 3240, Borrowing From or Lending to Customers...
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On 20 December 2023, the Financial Conduct Authority (FCA) published a statement (Statement) providing an update on the ancillary...
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On 4 December 2023, the Financial Conduct Authority (FCA) published a consultation paper (CP23/27) on reforming the UK commodity...
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On 18 December 2023, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) (together, the Regulators) published...
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On 28 November 2023, the Financial Conduct Authority (FCA) published its Policy Statement on Sustainability Disclosure Requirements (SDR)...
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On 8 November 2023, Neil Robson, a partner in the Financial Markets and Funds practice, moderated a panel discussion on the regulatory...