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FDA: Enforcement Report

FNO: Regulation

Global Investor: Regulations

InvestmentNews: Regulations

Reuters: Regulatory News

SEC Actions

  • newSEC’s Latest Cybersecurity Risk Alert Identifies Elements of Robust Policies and Procedures
    This is a guest post by Nick Akerman, Genna Garver and Kimberly Frumkin, Dorsey & Whitney On August 7, 2017 the Securities and Exchange Committee (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released yet another cybersec…
    - 19 hours ago, 16 Aug 17, 11:55pm -
  • Dentist, Claiming Tip Was a Rumor, Wins Insider Trading Case

    - 2 days ago, 15 Aug 17, 8:42pm -
  • What Is The Value of Cooperation With the SEC?
    The Commission has long encouraged firms and individuals to cooperate with its investigations based on the promise of consideration when the action is resolved. When the resolution is reached the agency may acknowledge the cooperation of the individu…
    - 3 days ago, 14 Aug 17, 8:03pm -
  • This Week In Securities Litigation (Week ending August 11, 2017)
    Four criminal securities cases moved to or toward resolution over the past week. The jury in the Martin Shkreli trial returned a verdict of guilty on three counts and not guilty on five others at the end of last week.…Read more ›The post This…
    - 7 days ago, 10 Aug 17, 8:53pm -
  • Trading in Opaque Markets: Fraud, Materiality and Compliance
    This is the first segment of an occasional series regarding a group of criminal and civil securities fraud actions involving trading in opaque markets and the lessons that can be drawn the prosecutions Introduction The U.S. Attorney’s Office and th…
    - 9 days ago, 8 Aug 17, 8:38pm -
  • Former Hedge Fund Manager Gets Split Jury Verdict
    Former hedge fund manager and pharmaceutical executive Martin Shkreli was acquitted on five counts and convicted on three others under an indictment centered on conspiracy and securities fraud charges tied to three firms. U.S. v. Shkreli, No. 15-cr-6…
    - 11 days ago, 6 Aug 17, 8:50pm -
  • This Week In Securities Litigation (Week ending August 4, 2017)
    In one of the few FCPA cases tried to verdict before a jury, NG Lap Seng, Chairman of Sun Kan lp Group was convicted. The case centered on bribing two UN ambassadors in connection with the Macau Conference Center project.…Read more ›The post T…
    - 14 days ago, 3 Aug 17, 10:29pm -
  • Undisclosed Fees, Conflicts Yield SEC Sanctions for Adviser
    Undisclosed conflicts, fees and overcharges have become a recurring theme in Commission cases involving investment advisers. Frequently these cases arise out of inspections by OCIE. See, e.g., In the Matter of Credit Suisse Securities U.S.A), LLC, Ad…
    - 16 days ago, 1 Aug 17, 9:21pm -
  • SEC Charges Cancer Fighting – Now Restaurant Firms With Fraud
    The Commission filed another in what has become a stream of offering fraud actions. This case sought to halt an offering – the last investor funds were deposited June 30, 2017 — in which investors were promised their funds would…Read more ›…
    - 17 days ago, 31 Jul 17, 8:40pm -
  • SEC Settles Another AML Action
    The Commission has increasingly focused on anti-money laundering compliance and the filing of SARs. See, e.g., SEC v. Alpine Securities Corp., No. 1:17-cv-04179 (S.D.N.Y. Filed June 5, 2017). Earlier this year the agency filed an administrative proce…
    - 18 days ago, 30 Jul 17, 8:36pm -
Emergency Comeback
Emergency Comeback
Emergency Comeback
Emergency Comeback

The Banker: Regulation & Policy

  • Chinese outbound M&A: what comes after the boom?
    Chinese outbound M&A boomed in 2016, but then macroeconomic imbalances and a growth in potentially speculative investment sparked regulatory tightening to contain flows. So how is the market faring in 2017? Stefania Palma investigates.
    - 32 days ago, 17 Jul 17, 3:46am -
  • ING’s disruptive model: interview with CEO Ralph Hamers
    These days, Dutch giant ING sees itself less as a bank and more as a technology player. CEO Ralph Hamers talks to Brian Caplen about short-term losses versus long-term gains, and why its new role models are Amazon and Facebook.
    - 34 days ago, 14 Jul 17, 8:41am -
  • UBS retains wealth management brand ranking crown
    UBS has maintained its global lead among wealth management brands, according to consultant Brand Finance, and Asia-Pacific is on the rise thanks to China’s love of a good name. Silvia Pavoni reports.
    - 36 days ago, 12 Jul 17, 10:32am -
  • Bringing ethics and transparency to the FX markets
    The world’s leading central banks have decided to raise integrity and transparency levels in the vast foreign exchange markets with a new code of conduct. And given the current mood music around market conduct, it probably has a good chance of bein…
    - 48 days ago, 30 Jun 17, 8:49am -
  • Will regulatory crackdown see China emerge from the shadows?
    Chinese regulators have tightened their grip on the banking sector in an effort to control financial risk, the country’s ballooning shadow banking sector and excessive debt load. Which banks stand a better chance of meeting these tougher requiremen…
    - 56 days ago, 23 Jun 17, 5:24am -
  • US Treasury plots Dodd-Frank reforms
    Some policy experts were pleasantly surprised with the US Treasury’s proposals to reform Dodd-Frank, considering them to be thoughtful, and are billing them as a likely road map for the future of the US financial system. By Justin Pugsley.
    - 57 days ago, 22 Jun 17, 5:33am -
  • Cautious Chinese banks navigate uncertain market
    China’s banking sector is proving hard to navigate in 2017. The economy is slowing, net interest margins have dropped and banking regulators are cracking down on financial malpractice. Stefania Palma assesses how the country's banks are faring in t…
    - 59 days ago, 20 Jun 17, 7:07am -
  • Western banks take retail route into emerging Asia
    Developed market banks tend not to favour retail as a way to move into emerging markets. But, as several have found, catering for smaller businesses and individuals is a good way to establish a foothold before expanding into Asia’s developing regio…
    - 64 days ago, 15 Jun 17, 6:40am -
  • The state of play: India’s banks in 2017
    In the past two years, recognising and resolving non-performing assets has become a central issue in the Indian banking sector, as the Reserve Bank of India pushed domestic lenders to unveil the full extent of their bad loans. Rekha Gupta Menon expl…
    - 64 days ago, 15 Jun 17, 5:31am -
  • Can Pakistan hold its nerve and sustain economic growth?
    Pakistan’s GDP growth is up, its budget deficit is down and the China-Pakistan Economic Corridor promises to bring with it major investment. But observers are warning against government complacency as its privatisation programme stalls and power de…
    - 70 days ago, 8 Jun 17, 2:50pm -

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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