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FDA: Enforcement Report

FNO: Regulation

Global Investor: Regulations

InvestmentNews: Regulations

Reuters: Regulatory News

SEC Actions

  • newThis Week In Securities Litigation (Week ending Jan. 19, 2017)
    The Supreme Court agreed to hear the appeal from the D.C. Circuit of Raymond J. Lucia Companies on the question of whether the Constitution’s Appointments Clause applied to SEC ALJs. While the Court will presumably resolve the split in the…Read…
    - 5 hours ago, 18 Jan 18, 9:26pm -
  • SEC and Retail Customers: Sanctions For Undisclosed Principal Transactions
    The Commission’s revamped approach to enforcement, centered in part on retail customers, is reflected in its most recent case. In an action against a managing director at a firm registered as an investment adviser and broker dealer, the Order focus…
    - 1 day ago, 17 Jan 18, 8:05pm -
  • Another Corporate Executive Indicted for FCPA Violations
    The Department of Justice continues to focus on individuals in FCPA cases, consistent with the dictates of the Yates memo. The President of a Maryland based transportation company was named in an eleven count indictment centered on FCPA violations in…
    - 2 days ago, 16 Jan 18, 8:21pm -
  • SEC Venue Selection: Avoiding Ground-Hog Day
    The Supreme Court agreed to determine whether the SEC’s use of hearing officers is contrary to the Constitution’s Appointments Clause in an order entered in Raymond J. Lucia Companies v. SEC, No. 17-130 on Friday, January 12, 2018 . Both…Read…
    - 3 days ago, 15 Jan 18, 8:42pm -
  • This Week In Securities Litigation (Week ending Jan. 12, 2017)
    Robert Jackson and Hester Peirce were sworn in as Commissioners yesterday by Chairman Clayton. Mr. Jackson joined the agency from NYU School of law where he was a professor. Ms. Peirce was at the Mercatus Center at George Mason University…Read mor…
    - 7 days ago, 11 Jan 18, 8:46pm -
  • Blockchain, Virtual Currencies and the Regulators
    The public interest in anything relating to virtual currencies, blockchain technology or bitcoin is not just very high bit reaching near hysteria. For example, the Long Island Iced Tea Corporation saw its share price jump as much as 289% after…Rea…
    - 8 days ago, 10 Jan 18, 8:30pm -
  • Court Rejects SEC Request For “Obey The Law” Injunction
    The statute of limitations and the decision in Kokesh v SEC, 137 S.Ct. 1635 (2017) clearly present challenges for the SEC. In that case the Court rejected the SEC’s claim that its disgorgement remedy is equitable and not subject to…Read more ›…
    - 9 days ago, 9 Jan 18, 8:16pm -
  • This Week In Securities Litigation (Week ending Jan. 5, 2017)
    This is the second of two articles reviewing events that took place during the holidays. Specifically, the first article appeared yesterday and reviewed key events concerning securities enforcement litigation from December 23, 2017 through the last b…
    - 10 days ago, 8 Jan 18, 8:27pm -
  • This Week In Securities Litigation (Week ending Dec. 29, 2017)
    This is the first of two articles reviewing events that took place during the holidays. Specifically, this article reviews key events concerning securities enforcement litigation from December 23, 2017 through the last business day of 2017. An articl…
    - 11 days ago, 7 Jan 18, 8:44pm -
  • Happy New Year!

    Happy New Year!

    The post Happy New Year! appeared first on SEC ACTIONS.
    - 18 days ago, 31 Dec 17, 8:00pm -
Janine Just, Inc.
Janine Just, Inc.
Janine Just, Inc.
Janine Just, Inc.

The Banker: Regulation & Policy

  • The battle to build Africa: will India and Japan usurp China?
    Japan and India are joining forces to boost their commercial presence in Africa and counter China’s dominance. Will they be able to compete with the continent's top trading partner – and how is Beijing reacting to the new competition? Stefania Pa…
    - 36 days ago, 14 Dec 17, 7:19am -
  • Charting their own course: the move from globally harmonised regulation
    Cracks are emerging in the post-crisis drive to harmonise global financial regulation, with policy-makers diverging in everything from payments to data residency. The effects could be profound, as Danielle Myles discovers. 
    - 38 days ago, 12 Dec 17, 8:36am -
  • Basel IV’s done – now comes the hard part
    The Basel Committee negotiators finally got there. The so-called Basel IV framework has been agreed and is not as harsh as many bankers had feared, but now comes an even harder part: implementing it consistently across the world. By Justin Pugsley.
    - 41 days ago, 9 Dec 17, 11:06am -
  • Will retail banking shake up Vietnam's established players?
    Vietnam’s banks are pushing into retail, buoyed by a young and growing population. How will competition between new, tech-savvy private lenders and the big four public sector banks play out? Peter Janssen reports.
    - 45 days ago, 5 Dec 17, 11:54am -
  • Will Catalonia independence movement dent Spain’s economic recovery?
    As Spain’s economy is forecast to outpace 2008 GDP growth for the first time since the eurozone crisis, its own constitutional problems are posing a risk to the upbeat projections, writes Stefanie Linhardt. 
    - 60 days ago, 20 Nov 17, 10:44am -
  • Nepal’s banks hope for stability as elections loom
    Nepal’s banks have survived two years of upheaval, contending with violent earthquakes and India’s border blockade. Today, the sector hopes to address more systemic issues such as overbanking, political instability and cyber security threats. Ste…
    - 60 days ago, 20 Nov 17, 6:24am -
  • Nepal leaves itself with a federal mountain to climb
    Nepal faces parliamentary and inaugural provincial elections at the end of 2017 while being tasked with setting up a new federal system. Ministry of finance officials tell Stefania Palma how the government is coping.
    - 64 days ago, 16 Nov 17, 11:16am -
  • Another fine mess? How penalties are calculated
    Banks and commentators have often been left stumped by the processes used to calculate multi-billion-dollar fines levied by regulators in recent years. Danielle Myles looks at how penalties are determined by different authorities around the world.
    - 64 days ago, 16 Nov 17, 5:28am -
  • Nepal’s central bank chief seeks more stability and fewer banks
    Nepal is grappling with interest rate and liquidity volatility as well as a relatively large banking sector that has 28 commercial banks. Chiranjibi Nepal, governor of Nepal Rastra Bank, tells Stefania Palma how the central bank is addressing these i…
    - 66 days ago, 14 Nov 17, 8:06am -
  • Moves to change interest rate benchmarks trigger contract concerns
    Regulators are working to change the interest rate benchmarks, which underpin many of the world’s derivatives and structured finance products. But doing so could result in legal issues with longer dated contracts. By Justin Pugsley.
    - 70 days ago, 10 Nov 17, 8:48am -

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 issu…
    - 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 com…
    - 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 t…
    - 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 Enforcem…
    - 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 e…
    - 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," regulat…
    - 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 -
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