Regulators

Proposal uses present tense, not future tense, and industry is worried

Connecticut State Treasurer Shawn Wooden says European regulatory constraints around diversity data present a challenge when it comes to deploying capital in the region.

Insiders see criminal, civil crackdown on penny stock promoters looming

Regulators too focused on 'behavioral,' not 'structural' evidence, Zhang says

The financial services industry should be on guard against cyber attacks as Russian dictator Vladimir Putin’s war on Ukraine widens, the Biden Administration says. The ...

'Strict liability,' steep penalties should spur AML action, expert says

The industry is staring down a portentous, menacing road of new regulations.

Case offers early lessons in delegation, cooperation

Advocate sees sign of industry's maturity

Ahead of proposed audit rule, staff has gone deep on audit trail