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Latest News
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XLOD London 2024: Addressing the proliferation of trade venues
Panelists from Bank of America, NatWest and Natixis discussed the challenges of multiple trade venues.
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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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FCA International Capital Markets Conference: Regulation, regulators and risk
The FCA’s conference, held in London on October 8, attracted speakers from the regulatory ecosystem and the banking and investment community.
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SEC starts sweep of exams on T+1 compliance at investment adviser firms
Several registered investment advisers have received examination letters related to T+1 settlement compliance.
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EU considers T+1 settlement cycle to align with US and other countries
Speech by Verena Ross on the EU transitioning to a faster securities settlement cycle.
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New leader coming to FDIC – and other items on our risk radar
News of the FDIC chair’s resignation, plus upcoming compliance dates and the latest on crypto ETFs.
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European market participants brace for impact of US move to T+1 settlement cycle
The transition to faster securities settlement in the US will have a significant impact on UK and EU firms with holdings in North and Central America.
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Strongly worded statements from agency leaders at PLI’s 2024 SEC Speaks event
SEC Speaks is an annual forum where the SEC provides guidance to the legal community on rules, regulations, and enforcement actions.