By
Aaron Nicodemus2021-12-16T21:38:00
The SEC and its Democratic majority ushered in a slew of rulemaking proposals Wednesday that include new disclosure requirements for the security-based swaps market, mutual funds, and share buyback arrangements.
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2023-07-13T14:23:00Z By Kyle Brasseur
The Securities and Exchange Commission voted to approve rule changes affecting money market funds that the agency hopes fare better than previous efforts in the space.
2023-06-07T18:22:00Z By Kyle Brasseur
The Securities and Exchange Commission adopted two rules aimed at curbing potential misconduct in the security-based swaps market.
2022-04-06T20:24:00Z By Aaron Nicodemus
The Securities and Exchange Commission proposed a regulatory framework for security-based swap execution facilities that will require these entities to hire a chief compliance officer to oversee compliance with new rules.
2026-03-03T19:39:00Z By Neil Hodge
The U.K.’s financial regulators have long maintained that AI use by banks, insurers, and other financial services firms is already regulated under existing rules, but such assurances are increasingly being questioned.
2026-02-27T21:15:00Z By Ruth Prickett
Sustainability reporting rules for U.K. listed companies are set to change. The U.K. financial regulator has launched a consultation laying out its proposals, which aim to align the reporting regime with the international ISSB standards.
2026-02-26T21:47:00Z By Ruth Prickett
Firms offering “buy now, pay later” financing will become part of the regulated financial services sector in the U.K. from July 15. Compliance teams must act now to ensure they are ready to introduce rules and establish creditworthiness assessment processes, adapt systems, and change data processes before the deadline.
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