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Latest News
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PCAOB’s Broker-Dealer Audit Focus Series: Reviewing exemption reports
The auditor’s objective is to state whether one or more conditions exist that would cause one or more of the broker-dealer’s assertions not to be fairly stated.
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ASIC roundup: SocGen fined A$3.88m, and a ‘cavalier attitude to compliance’
The Australian Securities & Investments Commission’s latest actions and news, September 1 – 5, 2025.
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GRIP Extra: SEC–CFTC harmonize regulatory stances, China’s former top securities regulator investigated
Our in-brief roundup of notable stories from the last week.
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Microsoft Copilot criticized for glitch that allowed false audit logs
Could a recent glitch in Microsoft Copilot have potentially broken audit logs for firms, and could this be a regulatory breach?
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Asia-Pacific in focus: August 2025 at a glance
Our latest roundup of the key developments in the financial regulation industry across the Asia-Pacific region.
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Getting ready for CASS 15: What should your priorities be?
Firms have nine months until the rules come into force on May 7, 2026.
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GRIP Extra: Trump fires Fed Governor Lisa Cook, red flags raised over Chinese money laundering
Our in-brief roundup of notable stories from the last week.
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GRIP Extra: JP Morgan to settle 1MDB claims for $330m, CVS Caremark fined $290m for Medicare fraud
Our in-brief roundup of notable stories from the last week.