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SEC charges Richmond Federal Reserve supervisor with insider trading
The SEC said Thompson used material nonpublic information to trade in stock and options of at least two publicly-traded banks within his supervisory portfolio.
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ASIC’s new enforcement priorities focus on cost-of-living pressures
Australian regulator’s enforcement priorities include focus on businesses trying to avoid consumer credit protections, and debt management.
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SEC releases fiscal year 2025 examination priorities
Emerging risk areas (such as AI), plus cybersecurity, crypto and AML in focus as we dig deep into Examination Priorities document.
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Proponent of a proactive culture of compliance, Director Grewal embarks on post-SEC career
He joined the SEC in 2021 and has overseen cases ranging from Regulation Best Interest to greenwashing charges.
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SEC cites Sound Point Capital Management for its handling of nonpublic info
The SEC said the fund adviser’s policies failed to consider the potential impact of material nonpublic information gained from serving as company lenders.
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The most important metric
So many stories in financial services are less pilgrim’s progress than road to perdition, says Carroll Barry-Walsh.
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Tackling market abuse: Assessing surveillance for asset managers
Common risks asset managers are facing as a result of their day-to-day trading activities.
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FMSB puts pre-hedging in the spotlight
The board uses case studies to help market participants navigate a tricky area attracting regulatory scrutiny.