valerie-ruppel-cs – Global Relay Intelligence & Practice

Rules Navigator

Search

Rules Navigator

Compliance
- All Compliance
- Audit
- Compliance as a Profession
- Compliance Culture & Ethics
- Enforcement
- Reporting
- Supervision
Latest News
Enforcement

FINRA disciplinary action update 2025/1

Thomas Hyrkiel4 min read

Supervision

BMO Capital Markets in $40.6m settlement with SEC over bond sale supervision

Julie DiMauro1 min read

Enforcement

SEC fines ATS operator over Market Access Rule, Reg ATS violations

Alexander Barzacanos2 min read
Regulation
- All Regulation
- CFTC
- ESMA
- FCA
- FINRA
- SEC
- US State Regulation
Latest News
Regulation

The coming battle between social media and the state

The Financial Times9 min read

Regulation

Privacy, digital payments, and the CFPB ain't dead yet

Julie DiMauro4 min read

CFTC

As new US agency heads line up, the crypto sector is braced for change

Julie DiMauro, Hameed Shuja3 min read
Technology
- All Technology
- AI
- Cloud
- Crypto
- Fintech
- Security
Latest News
Crypto

Start planning for the new UK crypto regulatory regime

CMS3 min read

AI

Microsoft to invest $3 billion in AI and cloud infrastructure in India

Hameed Shuja1 min read

Crypto

Crypto wrap: 'X money' leaks, Kwon in court, Europe's MICA, plus more

Hameed Shuja3 min read
Data
ESG
Resources
- All Resources
- Book Reviews
- Conferences and Events
- Country Guides
- GRIP Extra
- Podcasts
Latest News
Podcasts

Podcast: Michaela Ahlberg talks about building trust and ethics in compliance programs

Julie DiMauro46 min listen

Conferences and events

XLOD London 2024: What’s next for operational resilience?

Alex Viall4 min read

GRIP Extra

GRIP Extra: Chinese hackers breach US Treasury, House votes to sanction ICC

GRIP1 min read

Search

valerie-ruppel-cs

March 12, 2024<1 min read

Click to share on Facebook (Opens in new window/tab) Click to share on Twitter (Opens in new window/tab) Click to share on LinkedIn (Opens in new window/tab) Click to share on WhatsApp (Opens in new window/tab)

You may also like

About Us
Contact Us
Editorial Policy
FAQs
Legal Disclaimer
Legal Terms & Policies

Copyright © 2025 Global Relay Communications Inc. All Rights Reserved.

Compliance
Data
- Privacy
ESG
- ISSB
Regulation
- CFTC
- ESMA
- FCA
- FINRA
- SEC
- US State Regulation
Technology
- AI
- Cloud
- Crypto
- Fintech
- Security