Two high-profile and costly SEC enforcement cases point to the need to re-examine how your firm handles cash management—especially in an era of rising interest ...
Recent expensive SEC enforcement settlements related to cash sweep accounts suggest actions compliance officers should take to avoid similar missteps
CCO named in legal action, firm counters that the SEC retaliated against, and much more
The CFTC and the SEC are extending the compliance date for the Form PF amendments from March 12, 2025 to June 12, 2025
You can aspire to do all the right things when it comes to cybersecurity, and your vendors may do so as well. Yet trouble can ...
As to whether future defendants should seek examiners’ materials to defend themselves, 'I think it would be a very effective argument'
The SEC announced that it brought 200 enforcement actions in the first quarter of the Commission's 2025 fiscal year
Why you need to expand your cyber surveillance, lessons around fund expenses, the right to see SEC examiner documents and much more
Mission is to develop a comprehensive and clear regulatory framework for crypto assets
"The Commission should reallocate funds from American taxpayers to foreign investors only when there is clear authorization or instruction from Congress to do so, something ...