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Streamlined UK Enforcement Guide now in force
“Exceptional circumstances” test remains with three specific situations identified on when a public announcement will be more likely.
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Top compliance program mistakes (and how to avoid them): A marathon, not a sprint
The final part in this series of 3: Compliance as an ongoing commitment of documentation, consistency, and continuous improvement.
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OPINION: Is artificial intelligence the answer to the problem of CPIA disclosure?
Challenges arising from managing disclosure obligations under the Criminal Procedure and Investigations Act 1996.
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FCA’s second consultation on Consumer Composite Investments explained
The proposed CCI regime aims to replace the PRIIPs regime and certain UCITS disclosure requirements.
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Senate committee hearing provides hints on Atkins’ approach as SEC Chair
Atkins is expected to move to a far more market-friendly regulatory environment.
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SIFMA C&L 2025: Panel discusses cyber risks and regulatory trends
Cyber threats are on the rise, but the SEC has signaled that it will backtrack on enforcing cybersecurity disclosures.
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City wins: FCA backs down on controversial “name and shame” plans
The regulator will proceed with muted transparency plans which received broader support. We look at what this means for the enforcement division.
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Nasdaq board diversity rules vacated
In a narrowly-obtained decision, the Fifth Circuit determined that approving the rule exceeded the SEC’s power.