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Negotiating the era of digital accountability
Why communication archiving, insider trading regulations and audit tech are effective guardrails for global financial markets amid times of volatility.
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The GRIP Files: A Valerie Mirko, Armstrong Teasdale
Valerie talks about her experience in securities enforcement matters, SEC’s ‘back to basics’ approach, her work in-house and what she learned working at NASAA.
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Stephen Luparello appointed as new OCC chairman
Luparello has previously worked for Citadel Securities, the SEC, WilmerHale and FINRA.
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Crypto wrap: Ethereum’s midlife crisis, Trump’s stablecoin, FCA warning
Latest news and developments from the world of crypto.
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UK will move to T+1 cycle for securities settlement from October 2027
The move is aimed at creating a modern and efficient trading system in the UK, in line with international standards.
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BMO Capital Markets in $40.6m settlement with SEC over bond sale supervision
SEC says BMO failed to properly supervise employees who sold certain bonds, but notes it has remediated lexicons, policies and training in this area.
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Crypto wrap: ‘X money’ leaks, Kwon in court, Europe’s MICA, plus more
Latest developments in the world of crypto.
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SEC sued by 18 state AGs for unconstitutional overreach
The suit relates to the SEC’s controversial position that most cryptocurrencies are securities.