Financial Services
Duff & Phelps’ Global Regulatory Outlook report found that while financial institutions globally are devoting considerable energy and resources to AML efforts, there is still work to be done at the firm level. John Arvanitis discusses. The increasing complexity and...
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Investment advisers who have been around awhile know that the SEC, both independently and through case law, has defined and redefined what it means for an adviser to be a “fiduciary.” Kerry Zinn and Tanya Lambrechts discuss the SEC’s latest...
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Trading regulations on CVCs are due for a refresher course from FinCEN in light of recent penalties against a P2P crypto trader. NICE Actimize’s Ted Sausen discusses FinCEN’s recent combination of regulations, rulings and guidance around CVCs. On May 9,...
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The NYDFS cybersecurity requirements for financial services companies must be implemented this year, and one final phase remains. Are you ready?
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In February, 31 State Attorneys signed a letter endorsing the identify theft rules and acknowledging the need for more secure authentication practices. OneSpan’s Michael Magrath discusses.
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The use of clawbacks and malus provisions gained global momentum following the Enron and Worldcom scandals, but the financial services industry has been slow to follow suit. Allen & Overy’s Brian Jebb and Sarah Henchoz discuss. Compensation recovery provisions, commonly...
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In this follow-up to a recent piece extolling the benefits of regtech, ACA Technology’s Burt Esrig provides insight into the state of enforcement in the financial services industry and why regtech is no longer optional. The adoption of regulatory compliance...
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Technology is the future, and the future is now. Oracle’s Sonny Singh discusses how banks are using emerging technologies such as machine learning and graph analytics to improve financial crime investigations and compliance management. The complexity and cost of battling...
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Bressler, Amery & Ross attorneys Kerry Zinn and Jacqueline Aleman discuss the SEC’s recent actions in light of the 2018 Share Class Disclosure (SCD) Initiative, which encourages self-reporting for 12b-1 conflict disclosures. with co-author Jacqueline Aleman In February 2018, the...
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The regulatory technology (regtech) scene is exploding – last year, global regtech investment surpassed $1 billion. This tech can help compliance teams not only keep pace with regulatory changes, but also achieve a significant return on investment. Michael Lehman and...
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Theta Lake’s Marc Gilman reviews some of the key points from a recent FINRA report that resonate for financial institutions and regtech providers. The end of 2018 found the Financial Industry Regulatory Authority (FINRA) busy issuing guidance on several fronts,...
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Eric Johnson, President of Global Investment Markets at Donnelley Financial Solutions (DFIN) outlines six key forces driving change for the financial sector in the year ahead. The financial sector is used to transformation: markets fluctuate, and technology and regulations constantly...
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- Ying July 18, 2019SEC Obtains Final Judgment Against Former Equifax Executive Charged with Insider Trading
- Mark Loman July 18, 2019SEC Charges Former Company Controller with Insider Trading
- Paul Alar and West Mountain, LLC July 18, 2019SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets
