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The latest SEC Risk Alert details observations of investment adviser compliance with the Marketing Rule from its exams staff.
SIFMA’s recent conference event enabled it to survey compliance and legal professionals from across the financial services industry. Here are some of the results.
Are asset management giants BlackRock, Vanguard and State Street sticking to their passive roles when it comes to investments in US banks?
Consumer Duty means firms must put appropriate arrangements in place with their suppliers and third parties.
“Fear of running out of bread” claimed as one reason for video surveillance of staff.
The Finnish Financial Supervisory Authority commenced 50% more cases in 2023 compared to 2022.
Finanstilsynet in Denmark made 18 police reports for market abuse during 2023.
The DOJ plans to announce the details in about 90 days and launch it this year.