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Latest News
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In the name of love – managing workplace relationships
HR and legal experts weigh in on the ramifications of rules, compliance, and enforcement regarding romance in the workplace, especially when a subordinate is involved.
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FCA’s car finance redress estimates deemed too high
Millions of customers of motor finance schemes are expected to start receiving compensation from banks and lenders next year.
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How prediction markets are shaking up sports gambling in America
Kalshi is spearheading a legal battle to expand access to online betting, with support from some in Trump’s circle.
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Meridian Financial must pay $75,000 over Marketing Rule violations
The company claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said, among other charges.
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SEC fines Vanguard, Empower for misleading statements, conflicts of interest
Vanguard and Empower allegedly created conflicts of interest by incentivizing advisers to steer clients toward fee-based services, minus the requisite disclosure.
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ASIC roundup: Dishonest conduct, and bannings
The Australian Securities & Investments Commission’s latest actions and news, July 28 – August 1, 2025.
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SEC charges American Portfolios Advisors for misleading disclosures and falsified records
A routine SEC exam exposed backdated documents, hidden fee markups, and executive complicity.
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OPINION: SEC scraps 14 rule proposals, but don’t be naive
Former SEC regulator Janaya Moscony warns that rule scrapping doesn’t necessarily equate to “a hands off regulator.”