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FDA: Enforcement Report

FNO: Regulation

Global Investor: Regulations

InvestmentNews: Regulations

Reuters: Regulatory News

SEC Actions

  • Happy Thanksgiving!

    Happy Thanksgiving!

    The post Happy Thanksgiving! appeared first on SEC ACTIONS.
    - 1 day ago, 21 Nov 17, 8:00pm -
  • SEC Claims Individual, Firm Engaged In Unregistered Dealer Business
    The Commission’s recently released report on the Enforcement Division identified retail investors and cyber as key areas of emphasis for Enforcement under Chairman Clayton. Examples of the retail focus are actions involving microcap stocks and frau…
    - 2 days ago, 20 Nov 17, 8:08pm -
  • SEC Enforcement: Another Look At Last Fiscal Year
    The SEC published its statistics for the last fiscal year in a glossy report centered on a discussion of the new retail/cyber focus of the Enforcement Division. Statistics are not the sole measure of success the agency stated. Select statistics…Re…
    - 3 days ago, 19 Nov 17, 8:29pm -
  • This Week In Securities Litigation (Week ending Nov. 17, 2017)
    The Commission published a report on the new focus of the Enforcement Division, listing key priorities as cases involving retail customers and cyber issues. Groups have been established within the Division to focus on each of these priorities. The Co…
    - 6 days ago, 16 Nov 17, 8:44pm -
  • SEC Enforcement: A New Approach – A Year in Statistics
    The SEC reiterated the new retail investor/cyber focus for its Enforcement Division while publishing the statistics for the Division’s work for the last fiscal year. The report attempts to put a group of statistics showing that overall fewer stand-…
    - 7 days ago, 15 Nov 17, 9:29pm -
  • Consultant, Long Time Friend Settle SEC Insider Trading Charges
    SEC Enforcement is shifting focus to consumers and cyber-security according to the Chairman. Whether that marks the end of “broken windows” and many of the programs the approach spawned is yet to be seen. Regardless, insider trading, long a stapl…
    - 8 days ago, 14 Nov 17, 8:43pm -
  • SEC Charges Wells Fargo With Failing to File SARs

    - 9 days ago, 13 Nov 17, 8:35pm -
  • This Week In Securities Litigation (Week ending Nov. 10, 2017)
    The DOJ unsealed criminal charges against five individuals involved in the Rolls-Royce FCPA action previously brought by the DOJ, SFO and Brazilian authorities. The charges were filed in the Southern District of Ohio. Each executive except one pleade…
    - 10 days ago, 12 Nov 17, 9:02pm -
  • Veterans Day 2017

    Veterans Day 2017

    The post Veterans Day 2017 appeared first on SEC ACTIONS.
    - 13 days ago, 9 Nov 17, 10:00pm -
  • Day Trader Charged in Computer Hacking Scheme
    Two key areas of focus for the SEC are retail investors and cyber. Both of those elements are present in the latest case filed by the U.S. Attorney’s Office for the Eastern District of New York which parallels a previously…Read more ›The pos…
    - 14 days ago, 8 Nov 17, 8:48pm -
Emergency Comeback
Emergency Comeback
Emergency Comeback
Emergency Comeback

The Banker: Regulation & Policy

  • Time to tackle the vexed question of European NPLs
    While proposals by Europe’s regulators to tackle the continent’s bad loans are already meeting resistance from some quarters. The issue must be tackled sooner rather than later.
    - 29 days ago, 25 Oct 17, 8:56am -
  • The new age of Santander
    Spain's Santander is moving into a new era as it targets larger earnings, improved customer loyalty and stronger governance. Silvia Pavoni looks at how the 160-year-old institution is planning to progress from a position of strength.
    - 31 days ago, 23 Oct 17, 7:49am -
  • PWM/The Banker Private Banking Awards 2017
    UBS may have come out on top once again in our annual private banking awards, but competitors are closing in, while a number of regional banks appear to be making a successful transition onto the global stage
    - 34 days ago, 20 Oct 17, 7:14am -
  • Belarus inches toward economic recovery
    Belarus is gradually coming out of recession though its public sector reforms are too slow for some. This, combined with high dollarisation, could restrict its growth, writes Stefanie Linhardt.
    - 34 days ago, 20 Oct 17, 4:42am -
  • MiFID II’s collateral damage
    Every inch of Europe’s trading universe will be touched by MiFID II, which takes effect from January 2018. It may achieve its goals of investor protection and supervisory oversight but this could come at the expense of less liquidity, less competit…
    - 36 days ago, 18 Oct 17, 11:34am -
  • Data protection rules set to clash with MiFID
    Disparate regulatory frameworks clashing is nothing new, but the EU’s General Data Protection Regulation, which was not drafted specifically with banks in mind, is going to clash with other frameworks such as MiFID II, writes Justin Pugsley.
    - 36 days ago, 18 Oct 17, 10:07am -
  • 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…
    - 70 days ago, 14 Sep 17, 10:37am -
  • How banks are combating the cyber threat
    Banks are under attack from cyber threats coming at them from all directions, but are fighting back with a range of countermeasures, writes Michael Imeson.
    - 71 days ago, 13 Sep 17, 8:33am -
  • Citi expansion aims to energise South Korean wealth management
    Citibank’s ambitious plans for the South Korean market and a boom in fintech are invigorating the country’s wealth management sector, despite rising tensions with North Korea. Elliot Smither reports.
    - 76 days ago, 8 Sep 17, 10:56am -
  • RBC CEO Dave McKay looks to stay ahead of technology
    RBC’s CEO, Dave McKay, explains to Joy Macknight how artificial intelligence and advanced data analytics will help see the Canadian bank through the fundamental changes facing the industry.
    - 84 days ago, 31 Aug 17, 11:31am -

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 -

About PopMuse

A curated aggregation of musings from across the land and of different subject matters for the scanoholics.