Rules Navigator
Alexander Barzacanos1 min read
Alexander Barzacanos7 min read
Julie DiMauro4 min read
Michael R. Littenberg | Ropes & Gray, Sarah Lambert-Porter | Ropes & Gray, Samantha Elliott | Ropes & Gray8 min read
Vlada Gurvich5 min read
Martin Cook | Burges Salmon, Abbie McGregor | Burges Salmon4 min read
Vlada Gurvich3 min read
Julie DiMauro47 min listen
GRIP2 min read
Alexander Barzacanos3 min read
The remedy is a quarter of what the agency had previously sought.
We discussed improper marketing strategies, upcoding and billing issues, defense strategies for fraud cases with Tama Kudman and Barry Posner.
The SEC gathered industry leaders to discuss how crypto trading platforms might fit within, or reshape, the existing US regulatory framework.
An in-depth look at the statement content guidance after the issue of the first significant update in 10 years.
Julie DiMauro
Assessing the role, value and cost of compliance monitors
Compliance monitorships are costly and burdensome, and sometimes an effective way to achieve critical business objectives.
SEC says ‘no-can-do to’ the 16 financial firms that submitted a motion to have their recordkeeping settlements modified.
The travel group’s collapse in 2019 resulted in job losses, closure of stores and repatriation of 140,000 travellers.
Thomas Hyrkiel2 min read
The Australian Securities & Investments Commission’s latest actions and news, March 31 – April 11, 2025.
Martina Lindberg6 min read
To combat the illegal production and trafficking of fentanyl, the FinCEN analysis said it relied on the “public-private partnership.”
Julie DiMauro2 min read
The UK’s Office for Statistics Regulation has published an interim report into the ONS’s performance.
Hameed Shuja3 min read
How should controllers deal with a DSAR when information is scattered across multiple platforms and in different formats?
Alice Wallbank | Shoosmiths, Sherif Malak | Shoosmiths, Adam Fox | Shoosmiths4 min read
The Court has said disclosing bare details of the case does not pose a threat to UK national security.
Hameed Shuja1 min read
Live sharing of data is expected to help firms identify suspicious URLs, transactions and other scam-related activity.
Hameed Shuja2 min read
Interim targets could accelerate CDR demand and expand the buyer pool.
Lukas May OBE | Isometric3 min read
JP Morgan’s Global State of Gender Balance 2025 research predicts full gender parity is still 134 years away.
Jean Hurley2 min read
What this fine means for other firms and why it is a stark reminder of why a whistleblowing policy is needed in the UK.
The delays will provide a window for businesses to prepare.
Jean Hurley1 min read
The Consolidated Audit Trail (CAT) is a powerful tool to detect market manipulation, but the industry is complaining about skyrocketing costs.
Updates on US pharmaceutical policy, compliance, and regulation.
The fintech firm behind Cash App faces regulatory heat over anti-money laundering lapses and crypto oversight shortcomings.
Vlada Gurvich4 min read
Our at-a-glance guide to a busy week of FCA activity.
The DOJ shifts aim to end prosecutions over user actions and focuses enforcement on clear cases of fraud and abuse.
According to sources, Binance and representatives of World Liberty Financial discussed listing World Liberty’s stablecoin on Binance’s trading platform.
Julie DiMauro3 min read
Latest news and developments from the world of crypto.
Hackers intercepted bank regulators’ emails for more than a year, accessing highly sensitive financial information, the OCC said.
