Regulation

GDPR Data Protection

The EU’s GDPR and how it affects data privacy and investment management/technology

The General Data Protection Regulation is the most sweeping global change on data privacy in twenty years....

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SEC hands out $90 million to whistleblowers in April 2018 alone

Since issuing its first award in 2012, the SEC has awarded more than $266 million to 55...

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SEC Standard of Conduct for Inv Pros

Dalia Blass, who last September was named the SEC’s head of investment management (David Blass, her husband,...

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The regulatory case and example of Wells Fargo

Over $4 billion set aside for the fake account and MBS issues post-crisis, another billion today in...

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Delay for AIFMD third-country passport extension

Delay for AIFMD third-country passport extension

It looks like the EU will hold off on AIFMD third-country passport extensions until Brexit develops a...

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SEC names Driscoll as Director of OCIE and moves away from “broken windows” approach

SEC names Driscoll as Director of OCIE and moves away from “broken windows” approach

The SEC officially named Pete Driscoll the Director of the agency’s Office of Compliance Inspections and Examinations...

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SEC issues three no-action letters on Mifid II research provisions

SEC issues three no-action letters on Mifid II research provisions

Following a consultation with the European authorities, the SEC issued three no-action letters that deal with access...

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Compliance and RegTech: Paris vs London post Brexit

Compliance and RegTech: Paris vs London post Brexit

The Compliance Strategy Institute (CSI) last month held Executive roundtables both in London and Paris, with specific...

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Treasury Dept vs. SEC?

Treasury Dept vs. SEC?

The Department of the Treasure threw down the gauntlet with “the executive branch’s plan to promote vibrant...

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