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Apex and SEC battle over firm’s off-channel comms settlement
Apex argues that by applying substantially less burdensome undertakings on other similarly charged firms the SEC has breached administrative law.
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Podcast: Janaya Moscony and Leigh Wittick walk us through complying with Reg S-P
Janaya Moscony and Leigh Wittick spoke to GRIP about how financial institutions can demonstrate compliance with the many components of Reg S-P.
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SDNY’s new corporate enforcement policy charts path to declination
SDNY said after a company self-reports, it will issue a conditional letter stating intent to decline prosecution, if certain criteria are met.
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New York sets the standard for regulating BNPL lenders
The state’s new rules would strictly cap late and other penalty fees that can cost consumers dearly.
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Tied with a bow: FINRA’s gift limit goes from $100 to $300
The rule is designed to avoid conflicts of interest, which can arise when a gift is given to a client or vendor in the hope of strengthening a business relationship.
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Podcast: Jeffrey Oliver tells us about the state of antitrust policy and enforcement in 2026
Jeffrey Oliver talked to GRIP about the surging pace of antitrust activity in 2026 and what we can expect from regulators in this space.
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Shorter corporate disclosure through rule changes is aim of SEC’s Atkins
The SEC chair outlined corporate disclosure reforms he has asked SEC staff to explore, such as on executive comp and executive personal security.
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Podcast: A chat about crypto with former FBI agent and financial crime expert, Ren McEachern
McEachern discusses digital asset market structure legislation, its adoption by businesses, and risk management strategies for compliance pros.