By Aaron Nicodemus2020-06-26T17:33:00
A risk alert issued recently by the SEC examines disclosure deficiencies by investment advisors managing private funds.
2020-06-16T15:46:00Z By Kyle Brasseur
The SEC confirmed the June 30 compliance date for its Regulation Best Interest rule, in addition to sharing a handful of areas that deserve attention when making recommendations to investors in accordance with new policy.
2020-05-28T18:15:00Z By Aaron Nicodemus
SEC Chair Jay Clayton says recent updates to M&A rules will enhance investor information and slash unnecessary costs, but critics argue the changes limit investor transparency and better serve larger corporations.
2020-05-13T20:36:00Z By Jaclyn Jaeger
Steven Peikin, co-director of the SEC’s Enforcement Division, said while coronavirus-related matters remain a top priority for the agency, “our other priorities also remain in place.”
2025-10-03T21:24:00Z By Adrianne Appel
While the Trump administration may have shifted away from pursuing small, white-collar, financial crimes, its focus on health care fraud cases is as hot as ever.
2025-10-01T21:10:00Z By Neil Hodge
The U.K’.s financial regulator has given a strong indication that financial firms’ use of unauthorized devices and apps is under scrutiny and that policies around off-channel communications need to be tightened up.
2025-09-29T19:09:00Z By Adrianne Appel
Regulatory relief from anti-money laundering rules is in the cards for casinos, insurance companies and other non-bank financial institutions, the U.S. Treasury Department’s Treasury’s Financial Crimes Enforcement Network (FinCEN) said Monday.
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