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In a recent determination, the Securities and Futures Appeals Tribunal reviewed the handling of disciplinary proceedings by the Securities and Futures Commission and revisited procedural ...
In recent speeches, Deputy Attorney General Lisa Monaco and Principal Associate Deputy Attorney General Marshall Miller laid out how the DOJ uses active corporate criminal enforcement and...
On May 11, 2023, the Environmental Protection Agency announced a proposed rule to regulate greenhouse gas (GHG) emissions from new and existing fossil fuel-fired power plants. The rule w...
The NY Attorney General is seeking legislation that would significantly expand the state’s reach over digital assets and require wholesale changes to the operation of digital asset busi...
While the new rules will not require stock buyback disclosure within one business day as was proposed, they mandate significant new disclosure relating to stock buybacks with no accommoda...
Treasury’s de-risking strategy breaks no new ground and downplays the government’s role in driving financial institutions to de-risk higher-risk customers based on AML/CFT concerns.
The SEC’s amendments to Form PF include new event reporting requirements for large hedge fund advisers within 72 hours of the occurrence of certain events, and for private equity fund a...
The FCA has today published a consultation paper seeking views on major proposed reforms to the UK listing regime, including the creation of a single listing category for shares in commer...
The Financial Stability Oversight Council unanimously approved two proposals for public comment regarding FSOC’s authority to designate nonbank financial companies for Federal Reserve s...
The Federal Reserve and the FDIC reports on their supervision of Silicon Valley Bank and Signature Bank provide insight into potential upcoming shifts in regulatory and supervisory focus.