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.

Oppenheimer to pay $70M to settle cash-sweeps class action

Oppenheimer to pay $70M to settle cash-sweeps class action

Oppenheimer agreed to pay $70 million to settle a class-action over cash-sweeps practices, avoiding a June jury trial and potential damages exceeding $440 million.

may 17 2 min read

Atkins criticizes off-channel enforcement, vows quality focus

Atkins criticizes off-channel enforcement, vows quality focus

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