Self-reporting
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CFTC issues new enforcement cooperation policy
The advisory gives market participants even more opportunity for full enforcement declinations.
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FINRA Annual 2026: Exam and enforcement enhancements offer guidance to member firms
Speakers discussed the enhancements FINRA is making to both divisions and how firms can navigate their way through these processes with better practices.
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ASIC launches financial complaints data dashboard to boost transparency
The aim is to enable users to compare the complaints reported by individual financial firms for the first time, including their handling of complaints associated with specific products.
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SDNY’s new corporate enforcement policy charts path to declination
SDNY said after a company self-reports, it will issue a conditional letter stating intent to decline prosecution, if certain criteria are met.
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Speeches in 2025 express exuberance for change and concern over same
Speakers emphasized technology‑neutral and principles‑based regulation, teased on new policies to come, or raised red flags.
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SDNY’s Clayton wants to offer companies better deals for their cooperation
The former SEC leader said he wants to offer “real benefits” to those committed to turning over bad actors and resolving matters quickly.
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Podcast: Sandra Moser and John Pease walk us through DOJ’s Corporate Enforcement Policy
Moser and Pease talk about a corporate enforcement and voluntary self-disclosure policy that has seen a variety of iterations through several administrations.
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China’s securities regulator increases rewards for reporting violations
The cash reward for whistleblowers will depend on how serious the violation is. At the same time, self-reporting is being encouraged by imposing lighter penalties.