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Latest News
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GRIP Extra: FINMA to appeal Credit Suisse AT1 wipeout ruling, China implements new cross-border personal data regulations
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Podcast: Sandra Moser and John Pease walk us through DOJ's Corporate Enforcement Policy
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GRIP Extra: EU to trim environmental due-diligence law, US shutdown disrupts agency workflows
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- Industry
SEC Rule 17a-1
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SIFMA urges SEC to modernize communication recordkeeping rules
SIFMA said these rules need to be redrafted so firms can "more effectively manage their relationships with clients through seamless and modern communication."
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GRIP Extra: FINMA to appeal Credit Suisse AT1 wipeout ruling, China implements new cross-border personal data regulations
Our in-brief roundup of notable stories from the last week.
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Federal shutdown puts strain on market oversight
SEC Division of Corporation Finance outlines limited operations as shutdown bites.
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What international companies need to know about SEC cross-border fraud task force
The press announcement also warns that gatekeepers, particularly auditors and underwriters, will be under the SEC’s microscope.
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FINRA fines Ally Invest $850k for recordkeeping failures
22.6 million business-related e-comms were left unpreserved, and 521,000 messages unreviewed, due to technical and policy failures.
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Compliance teams dealing with more rules for less reward
How rising regulatory demands are outpacing the recognition of compliance and legal leaders.
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The great big crypto explainer
Basic concepts simply set out in one handy reference article.
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What happens when marketing meets compliance
Lessons from the SEC’s first Marketing Rule case.