By Joe Mont2018-09-12T15:15:00
For years, a battle over the place of guidance in the regulatory world has been hotly debated. Now, there may be some clarity.
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2018-09-13T15:45:00Z By Joe Mont
Reacting, in part, to a recent statement by banking regulators regarding the role of guidance in their regulatory regimes, SEC Chairman Jay Clayton has clarified his own views on the topic.
2026-02-18T22:02:00Z By Ruth Prickett
A new U.K. Consumer Composite Investments regime comes into force on April 6 and will apply to all firms that manufacture or distribute CCI products to retail investors in the U.K. This includes some firms that are not regulated by the Financial Conduct Authority.
2026-02-17T23:11:00Z By Ruth Prickett
Four senior partners at Big Four accountancy firm Ernst & Young, including a leader in the firm’s compliance function, have left the company because of spiralling repercussions from a costly compliance failure.
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