International

The Permal Employees, along with employees of Société Générale, also used coded language in furtherance of the scheme, including discussing when the Libyan Intermediary had ...

In the CFTC’s latest move to “foster cross-border cooperation and show deference to home country regulation that is deemed comparable to the Commission’s regulation,” the ...

The Commodity Futures Trading Commission (Commission) is proposing amendments to its regulations to establish a regulatory framework within which the Commission may exempt a clearing ...

IA Watch spoke with Thomas Smedinghoff, of counsel with Locke Lord in Chicago, about what advisers should know about the EU's General Data Protection Regulation. ...

Take two teenaged hackers in Ukraine. Add a former Morgan Stanley investment adviser who moonlights as a pastor and his friend, a former rep. Toss ...

Here we summarize rules for selling foreign funds into various locales around the globe

U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one ...

There’s no mistaking that failures to disclose conflicts of interest tied to compensation are a focus of both SEC examiners and Enforcement. New York-based deVere ...

Thanks to the Financial Action Task Force’s 40 recommendations for how to attack anti-money laundering, you can find great similarities in the approaches favored by ...

International Organizations: Learning from the Past to Build for the Future Commissioner Hester Peirce   Armonk, New York April 11, 2018 Remarks at the 2018 ...