Welcome to GRIP, Global Relay’s new digital information service on practical compliance and regulatory change.
Please enjoy this free trial of our subscription content service, for a limited time only.
-
SEC moves against conflicts of interest in securitization transactions
Regulator adopts new rule to address conflicts of interest in the asset-backed securities market.
-
Right-touch regulation can rebuild trust in the carbon removal market
Fresh thinking provides an opportunity to make vital progress in tackling climate crisis.
-
FINRA moves to harmonize rules for investment performance data
A targeted exception attempts to improve clarity and reduce regulatory friction and confusion without diluting investor protection.
-
Kraken to ‘vigorously defend’ position as SEC files charges
Regulator says Kraken took ‘business decision’ not to comply with securities laws.
-
Rio Tinto settles with SEC in long-running fraud case
Company to pay $28m fine after discovery that purchased assets were overvalued by more than 80%.
-
FSOC adopts new process for nonbank supervision by the Fed
New Guidance from FSOC on how to evaluate whether a nonbank financial company could pose a threat to the financial stability of the US.
-
SEC approves proposed rule change to FINRA Rule 3110
Move allows more formal remote inspections in recognition of changed work environment.
-
Take on tech: Cyber rules and the DOJ, internet providers and FCC, and a dreaded spider
Our irregular roundup of developments in cybersecurity, AI, and other eye-catching tech initiatives.