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FDA: Enforcement Report

FNO: Regulation

Global Investor: Regulations

InvestmentNews: Regulations

Reuters: Regulatory News

SEC Actions

  • newFINRA Fines Morgan Stanley For Supervision Failures
    The Commission has brought a series of enforcement actions against investment advisers centered on fees. In a number of instances the issue was whether the clients were put into programs where the fees charged were the most advantageous for the…Re…
    - 13 hours ago, 25 Sep 17, 7:56pm -
  • Legal Advice Not Enough for Adviser to Avoid SEC Sanctions
    Undisclosed conflicts of interest have been a key focus of OCIE exams of investment advisers. Those undisclosed conflicts have resulted in a series of enforcement actions against advisers. The Commission’s most recent case involving an adviser who…
    - 2 days ago, 24 Sep 17, 8:18pm -
  • This Week In Securities Litigation (Week ending September 22, 2017)
    The Commission became a cybersecurity headline this week, not for brining a case or writing a rule in the area but for an intrusion into its systems. The Chairman issued a statement on the subject. The Commission resolved an FCPA…Read more ›Th…
    - 4 days ago, 21 Sep 17, 10:28pm -
  • SEC, USAO Charge Tech Company Founder With Insider Trading

    - 6 days ago, 20 Sep 17, 8:11pm -
  • Fraudulent “Social Security Maximization” Scheme Ends With Guilty Plea
    P.T. Barnum should have said “there is a new scheme born every minute.” Yesterday a Wall Street office and Sinatra songs were used to lure would-be investors to a commodity fraudster who took investor funds for his own and ended…Read more ›…
    - 7 days ago, 19 Sep 17, 8:19pm -
  • A Video Plus a Sinatra Song Attracted Investors for Fraudster
    A Wall Street office; a youtube.com video; Frank Sinatra singing New York New York. These were the keys to building an apparently successful commodity trading business that attracted clients – at least for a while. It ended, however, with a…Read…
    - 8 days ago, 18 Sep 17, 8:08pm -
  • This Week In Securities Litigation (Week ending September 15, 2017)
    The Commission filed another in a series of actions against an investment adviser who put wrap fee program clients into more expensive mutual fund shares that benefited the adviser and disadvantaged the client. Two more cherry picking cases were file…
    - 11 days ago, 14 Sep 17, 9:14pm -
  • SEC Files Two Cherry Picking Actions, Aided by Statistical Analysis
    The Commission has continued to use statistical analysis to bolster its enforcement claims. One area in which this has been done is “cherry picking” cases. Two recently filed settled actions involving investment advisers are examples. In the Matt…
    - 12 days ago, 13 Sep 17, 8:46pm -
  • SEC Sanctions Adviser For Failing To Follow Its Procedures
    It is axiomatic that investment advisers are required to the follow dictates of firm operating documents, internal procedures and disclosed policies and procedures. OCIE, when conducting inspections, focuses on such issues. The SEC has brought a seri…
    - 15 days ago, 11 Sep 17, 8:17pm -
  • SEC ALJs Before the Supreme Court: Will the Court Take The Issue?
    The validity of the SEC ALJs’ under the Constitution’s Appointments Clause is a critical issue the Supreme Court is considering for addition to its docket this term which will begin on the first Monday in October. Petition for Writ of…Read mor…
    - 16 days ago, 10 Sep 17, 8:27pm -
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The Banker: Regulation & Policy

  • Office of the Comptroller of the Currency wades in on the Volcker Rule
    The largely unpopular Volcker Rule in the US, designed to restrict proprietary trading by banks, is up for review, with the Office of the Comptroller of the Currency taking the lead in what could result in regulatory relief for the banking sector. B…
    - 12 days ago, 14 Sep 17, 10:37am -
  • Do we need Basel any more?
    The banking system is largely fixed and the world is trying to move on from the aftermath of the global financial crisis by focusing on economic growth, which raises questions over the relevance of the Basel Committee on Banking Supervision. 
    - 35 days ago, 22 Aug 17, 9:10am -
  • Africa's last international banks make their stand
    The rise of Africa’s home-grown financial players has led most international lenders to withdraw from the continent. However, Société Générale and Standard Chartered are not only staying put but marking territory for digital expansion. James K…
    - 36 days ago, 21 Aug 17, 4:21am -
  • Adapting to the ‘new normal’ in Russian banking
    As the Russian economy recovers, the new equilibrium brings fresh challenges to the financial sector. Stefanie Linhardt finds out how the management at many of the country's leading banks are adapting to this environment at the International Financia…
    - 39 days ago, 18 Aug 17, 5:39am -
  • Tradition meets tech – Russia’s Post Bank model
    Post Bank is going against the grain with plans to hold a total of 18,000 branches across Russia within two years. The lender is using legacy outlets from its Leto Bank and Russian Post origins to increase its reach, with a low-cost model that mixes…
    - 41 days ago, 16 Aug 17, 9:00am -
  • UK extends conduct reforms to smaller firms
    The UK is proposing to extend its senior managers and certification regime to another 46,000 or so firms, which is both good and bad news for firms, but if nothing else it should improve standards of conduct. By Justin Pugsley.
    - 41 days ago, 16 Aug 17, 6:54am -
  • Looking ahead: where now for the Basel Committee?
    The 10th anniversary of the financial crisis recently thrust the Basel Committee on Banking Supervision into the spotlight, but the next 10 years are likely to pose very different challenges for the institution. Justin Pugsley reports.
    - 42 days ago, 15 Aug 17, 5:19am -
  • Gina Miller: why a Brexit extension is critical to the UK
    Brexit is going to be at least as complex as accession to the EU was 40 odd years ago, yet the UK has not even decided what kind of Brexit it wants, says the founding partner of investment management firm SCM Direct, who is urging the government to…
    - 42 days ago, 15 Aug 17, 4:30am -
  • Is a brighter future awaiting Brazil and its banks?
    Brazilian banks have endured economic shocks and political turmoil in recent years and emerged for the most part unscathed. As conditions improve, reforms take place and the country’s powerful development bank refocuses its priorities, what does th…
    - 43 days ago, 14 Aug 17, 3:04pm -
  • Turkey’s banks under pressure to lead recovery
    After 2016’s coup attempt in Turkey, president Recep Tayyip Erdoğan has tightened his grip on power. While some banks say his economic stimulus programme has benefited them, others believe his interventions, such as calls for rate cuts, represent…
    - 43 days ago, 14 Aug 17, 1:42pm -

The Regulatory Fundamentals Group

  • The Phases of a Hedge Fund Closure
    In a recent piece for RFG, Finbarr O’Connor of the Berkeley Research Group comments on the process for winding down a hedge fund. He notes that hedge funds most frequently close due to underperformance but events such as litigation, regulatory iss…
    - 5 May 17, 11:58am -
  • The Biggest Challenges Managers Face Today
    As we face the prospect of substantial policy changes emanating from Washington, DC, RFG asked industry pros for their insights on the greatest challenges facing fund managers. They identified several key issues, including the threat of the index fun…
    - 24 Mar 17, 11:45am -
  • What If You Could Draft an Insider Trading Law?
    Recently, U.S. District Judge Jed S. Rakoff urged passage of a statute prohibiting insider trading. Currently judicial decisions define the boundaries of the law which is based on anti-fraud provisions of the Securities Exchange Act. This, the judge…
    - 21 Mar 17, 10:08am -
  • FERC Issues Guidance on Effective Compliance and Market Manipulation
    FERC staff recently released two white papers, Anti-Market Manipulation Enforcement Efforts Ten Years after EPAct and Effective Energy Trading Compliance Practices. Both provided compliance guidelines in two areas: market manipulation and trading c…
    - 20 Dec 16, 2:38pm -
  • SEC Proposes to Regulate Endowment Investment Office Compensation
    Last week, RFG’s CEO, Deborah Prutzman, submitted a comment letter to the SEC which addressed the reasons why endowment investment offices should not be subjected to a proposed rule on incentive-based compensation. The proposal was put forward by…
    - 28 Jul 16, 11:06am -
  • Insights from Congressional Inquiry Responses
    In February of this year, the Senate Finance Committee and House Ways and Means subcommittee sent letters to 56 private colleges with endowments greater than $1 billion seeking information on how they manage and spend those funds. The inquiry was aim…
    - 20 Apr 16, 2:34pm -
  • Investment Office Behaviors in the Age of Enforcement
    Due to the growth of regulatory exposures and risks in today’s investment environment, gaps in compliance coverage have the potential to hit investment returns hard.  Our most recent white paper, “Investment Office Behaviors in the Age of Enfo…
    - 8 Apr 16, 1:18pm -
  • Best Practices Barometer: A Guide to the Universe of Best Practices in the Alternative Assets Industry
    In response to the changing regulatory environment, RFG has updated our white paper, Best Practices Barometer: A Guide to the Universe of Best Practices in the Alternative Assets Industry. This update will be available only to investment offices of…
    - 18 Mar 16, 2:38pm -
  • The Vicious Circle of Regulation
    Regulatory efforts change the structure of financial markets, and market changes trigger further regulatory efforts.  Recent developments highlight this cycle.  First there was the regulatory effort. Concerned that banks were "too big to fail," r…
    - 7 Mar 16, 1:27pm -
  • Eight Predictions for 2016
    In many respects, 2016 looks to be a continuation of forces set in motion during 2015, which means it will be a challenging year. One of the main challenges will be dealing with continued uncertainty – with political change in the U.S. (regardless…
    - 29 Dec 15, 1:08pm -
Janine Just Inc.

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