HomePosts Tagged "Regulation"

Regulation

New rules for funds and managers, disclosure and ESG requirements, tax and legal changes, and enforcement actions affecting how investment products are structured and marketed.

Atkins criticizes off-channel enforcement, vows quality focus

Atkins criticizes off-channel enforcement, vows quality focus

At the May 12 FINRA conference in Washington, SEC Chair Paul Atkins said prior off‑channel enforcement produced no investor‑harm findings and pledged to focus on case quality after $95 million in fines.

may 15 2 min read

CFTC, sports leagues team up to monitor prediction markets

CFTC, sports leagues team up to monitor prediction markets

may 15 2 min read

T3 Unit freezes 0M in illicit crypto across 23 nations

T3 Unit freezes $450M in illicit crypto across 23 nations

may 14 2 min read

Genius, Clarity Acts clear path for Institutional crypto ETFs

Genius, Clarity Acts clear path for Institutional crypto ETFs

may 13 2 min read

FinCEN warns banks: IRGC uses crypto, front companies

FinCEN warns banks: IRGC uses crypto, front companies

may 13 2 min read

SEC to end no-admit/no-deny ‘Gag Rule’

SEC to end no-admit/no-deny ‘Gag Rule’

may 12 2 min read

Banks must add layered defenses against deepfakes

Banks must add layered defenses against deepfakes

may 12 2 min read

NASAA proposes model rule to align states with SEC marketing rule

NASAA proposes model rule to align states with SEC marketing rule

may 11 2 min read

Private equity benchmarks test advisors’ fiduciary duty

Private equity benchmarks test advisors’ fiduciary duty

may 6 2 min read

GAO urges consideration of spousal consent for 401(k) withdrawals

GAO urges consideration of spousal consent for 401(k) withdrawals

may 5 3 min read