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Morgan Stanley failed to adopt and implement P&Ps reasonably designed to prevent and detect unauthorized externally-initiated ACH payments

"As the FSOC annual report highlights, certain large multi-strategy and macro hedge funds are significantly leveraged, receiving the vast majority of their repo financing in ...

Corporate Transparency Act 'likely unconstitutional,' and 'quasi-Orwellian,' decision states

Defense attorney slams 'unfounded allegations,' vows to fight cases 'vigorously'

More than half of the financial remedies came from cases against Terraform Labs and founder

While federal regulators and legislators may be perplexed about how to handle AI, many states aren’t standing still on the question

For example, a CPO that used generative AI to update a disclosure document or prepare periodic account statements for a commodity pool would still be ...

Find out about states' efforts to regulate AI, SEC hits a new record, guidance for social media posts and much more

FINRA charged B-D for utilizing 400 influencers that posted social media communications that "were not fair and balanced"