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Latest News
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Think before you “fix” it: CCO missteps lead to personal fines and bar
A stark reminder that Chief Compliance Officers are on the hook for misleading regulators during an examination.
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SEC charges Emerson Equity and sales rep with Reg BI failings
Key care obligations were breached as a result of recommendations made to retail customers in connection with risky bond investments.
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Podcast: Faegre Drinker’s Gwen Williamson on AI, digital assets, and SEC priorities
Gwendolyn (Gwen) Williamson examines recent developments including how to demonstrate adherence to securities laws while preparing for the future of the asset management industry.
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New York settles with Paxos for $48m over BUSD compliance deficiencies
The blockchain technology company was accused of AML/KYC control failures, and insufficient oversight of its relationship with Binance.
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FCA’s light touch approach on off-channel comms is a warning shot, not a fine
Industry response to the FCA’s multi-firm review into off-channel communications and a comparison with the US approach.
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Trump’s EO opens door for 401(k) retirement plans to invest in PE and crypto
President Trump signed an executive order that will let Americans invest their 401(k) retirement savings in cryptocurrency, private equity and real estate.
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SEC approves $200m Barclays distribution plan years after shelf control collapse
Three years after Barclays admitted to selling $17.7 billion in unregistered securities, the SEC has approved a long-awaited plan to return funds to harmed investors.
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MUFG Securities EMEA fined $9.8m over ‘substituted compliance’ failures
Firm failed to implement measures to comply with applicable conditions, despite representations that it had done so.