Rules Navigator
Jean Hurley1 min read
Julie DiMauro2 min read
Thomas Hyrkiel5 min read
Julie DiMauro1 min read
Hameed Shuja4 min read
Janaya Moscony | SEC37 min read
The Financial Times10 min read
GRIP2 min read
Jean Hurley, Martina Lindberg3 min read
Julie DiMauro30 min listen
Modification allows for compliance based on timing of annual fund disclosure and reporting obligations tied to fund’s fiscal year-end.
The FCA found Odey’s behavior towards both OAM and the FCA lacked “candor.”
Prosecutors in unit told to take details to other positions within DOJ, current cases to be reassigned to US attorneys’ offices around the country.
Our regular roundup of news and developments from the world of crypto.
GRIP
GRIP Country Guides: France
A first port of call for firms wishing to do financial services business in France – covering regulation, compliance and best practice.
Disciplinary decisions issued March 1 – 7, 2025.
Industry response as FCA and PRA says it will not update rules on diversity and inclusion and will pause non-financial misconduct action.
Jean Hurley4 min read
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.
CCO Jeff Lemay reflects on his time at Jazz Pharmaceuticals and asseses the road ahead for compliance and legal teams in the pharma sector.
Julie DiMauro5 min read
Close to half of all data subjects were affected by cyber incidents.
Martina Lindberg2 min read
The number of fraud reports remained stable last year, but the percentage of people who lost money has increased.
Hameed Shuja1 min read
AI transcription is a hazard for organizations trying to cope with data subject access requests – here’s what businesses should do.
Alice Wallbank | Shoosmiths, Sherif Malak | Shoosmiths4 min read
Proliferation of venues and assets, data challenges as well as rapid technological change identified as key concerns.
Thomas Hyrkiel2 min read
Move explained as a response to “allegations and information” received by the Office of Civil Rights.
Members of US Congress and State Officials call for action against the EU CSDDD and CSRD.
Michael R Pfeuffer | Morgan Lewis, Marc Rotter | Ropes & Gray3 min read
Internal comms emphasize the fact that the US is the firm’s largest market.
SEC guidance suggests detailed beneficial ownership report must be filed by investors seeking to “pressure” companies over ESG.
Alexander Barzacanos2 min read
Our at-a-glance guide to a busy week of FCA activity.
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
The UK’s Supreme Court is expected to give a key ruling next month in the motor finance case.
LSC argued that the NYSE’s monetary penalties were excessive, and judgments related to faulty supervision were redundant.
Alexander Barzacanos1 min read
Revolut and Monzo face steep challenges in a complex regulatory environment and competitive retail banking sector.
Senate Banking Committee votes 18-6 to advance bill proposing clear regulatory framework for payment stablecoins.
Government regulation is needed to mitigate significant distress and economic harm caused by these “collectable” coins.
Howard Fischer | Moses & Singer, Isaac Greaney | Moses & Singer4 min read
Initiative signals a proactive approach to the challenges of AI adoption that aims to foster an environment that supports responsible innovation.
