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Emerging risk areas (such as AI), plus cybersecurity, crypto and AML in focus as we dig deep into Examination Priorities document.
He joined the SEC in 2021 and has overseen cases ranging from Regulation Best Interest to greenwashing charges.
The SEC said the fund adviser’s policies failed to consider the potential impact of material nonpublic information gained from serving as company lenders.
So many stories in financial services are less pilgrim’s progress than road to perdition, says Carroll Barry-Walsh.
Common risks asset managers are facing as a result of their day-to-day trading activities.
The board uses case studies to help market participants navigate a tricky area attracting regulatory scrutiny.
The DOJ described the case as the first it has prosecuted exclusively based on a rule that allows company insiders to create a predetermined plan to sell shares.
Our regular new GRIP REMIT Market Watch feature covers ACER’s quarterly report on its activities under REMIT; and recent market manipulation and insider trading activity.