Hameed Shuja3 min read
Alexander Barzacanos3 min read
Ning Zhang | Morgan Lewis, Yan Zeng | Morgan Lewis17 min read
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
Julie DiMauro4 min read
A guide to PRA’s final rules and policy on its approach to branch and subsidiary supervision.
Tom Callaby | CMS, Ben Maconick | CMS4 min read
Data provided on Regulation A, crowdfunding, and private fund beneficial ownership concentration
Julie DiMauro4 min read
Commissioner Goldsmith Romero said her agency should make the benefits of cooperation more clear in public documents and specific cases.
Julie DiMauro6 min read
The FDA noted how foreign companies have been given advanced notice before facility inspections, while American manufacturers have not.
Julie DiMauro2 min read
Will Handbook simplification, wordcount reduction and changes toward regulatory automation lead to a smoother supervisory process?
Parvez Khan | IPK European Strategy3 min read
Finland’s Financial Supervisory Authority saw increasing variations of scams during 2024, and issued more penalty payments than before.
Martina Lindberg1 min read
Initiatives aim to improve the effectiveness and efficiency of supervision.
Julie DiMauro2 min read