Dan Nikci, Founder and Managing Partner of Applied Fund Solutions, discusses his work with the alternative investment community.
Alexander Barzacanos20 min listen
According to the Norwegian regulator a reference swap rate was intentionally driven higher at the time of pricing in order to produce higher trading profits.
Martina Lindberg4 min read
Final settlement orders announced last week include those against firms for infractions often based in compliance program lapses.
Julie DiMauro4 min read
Each firm used unapproved communication methods, or off-channel communications, to send and receive messages that were required to be maintained under the securities laws, the SEC said.
Julie DiMauro4 min read
The matter-of-fact narrative is scathing of the moral and ethical void at Purdue as well as the behavior at the consulting firm.
Thomas Hyrkiel, Julie DiMauro3 min read
The rule requires broker-dealers, securities-based swap dealers, exchanges, clearing agencies, and other SROs to submit forms in certain electronic formats.
Julie DiMauro1 min read
Staff are adopting large language models faster than companies can issue guidelines on how to do so.
The Financial Times5 min read
Panellists from HSBC and BNP Paribas discussed all things comms surveillance with Emily Wright moderating.
Alex Viall2 min read