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At the SIFMA annual conference event last week, off-channel communication recordkeeping challenges and possible solutions proved to be a popular panel topic.
Sharp differences emerged during discussion on neutralizing conflicts of interest created by algorithms.
FINRA’s CEO discussed how the SEC’s flurry of rulemaking has affected his agency.
At SIFMA’s Annual Conference this week, regulators, industry practitioners and advisers gathered to discuss the state of compliance and the legal environment in 2024.
Therese Chambers outlined new enforcement strategy to speed up investigations and clarified new enforcement publicity proposals.
UK policymakers and regulators urge support for international interoperability of transition finance frameworks.
In a series of panels at JWG’s eighth annual conference, speakers said commercial considerations may trump regulatory concerns as technology moves forward.
This was arguably one of the most insightful sessions at the ‘must attend’ event for surveillance experts on the sellside and buyside.