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31 May 2023, 3:00 pm
Many positive things have been said in the last days, months and years about the historical improvements the UP and UPC will bring for the industry, economy and innovation. [read post]
31 May 2023, 1:44 pm
The insurance industry should take a close look at CBDCs in order to be prepared for the launch. [read post]
31 May 2023, 8:58 am
The CFTC regularly investigates claims of misconduct and routinely works with criminal and regulatory authorities throughout the country. [read post]
31 May 2023, 5:35 am
The report suggests that “ the argument about how independent of the industry IPSO really is persists, and focuses on the financial arrangements. [read post]
30 May 2023, 6:30 am
He emphasized a regulatory gap needs to be closed involving the liquidity of these investments. [read post]
29 May 2023, 10:30 pm
Financial Regulatory Structure following the Dodd-Frank Act Access this practice note for a comprehensive review of the regulatory and supervision framework designed to resolve SIFIs and to protect U.S. financial stability. [read post]
29 May 2023, 11:43 am
While the start of the Unitary Patent system will celebrated tomorrow at the UPC in Luxembourg and on Thursday with the EPO event “Welcoming the Unitary Patent System – A new era for innovation in Europe”, tomorrow also a conference will be held in Brussels (4.30 – 6.30 pm) with a distinctly more critical title: The Unitary Patent Package: a start on shaky tracks? [read post]
29 May 2023, 9:03 am
A group chaired by HHJ Stuart Farquar has published a report concerning transparency in the Financial Remedies Court. [read post]
27 May 2023, 9:05 pm
With that said, whether and how the SEC should regulate in the ESG space, and limitations on its authority to do so, are separate questions. [read post]
26 May 2023, 6:02 am
The post Week in Review first appeared on The Regulatory Review. [read post]
25 May 2023, 9:01 pm
I’m not going to name any names, but you in the industry who called the SEC and other agencies know who you are. [read post]
25 May 2023, 9:25 am
The Hong Kong Monetary Authority published the consultation on its discussion paper on crypto-assets and stablecoins in January 2023, stating that the regulatory regime for stablecoins is expected to be implemented in 2023/2024. [read post]
24 May 2023, 1:01 pm
The Financial Industry Regulatory Authority (FINRA) requires brokers to disclose all material facts about investments to their clients, and the federal courts have long recognized this duty as well. [read post]
24 May 2023, 7:55 am
Three of them said that you can’t apply Pike in cases where doing so meant balancing a financial impact against a state’s interest in a moral issue. [read post]
24 May 2023, 4:00 am
California’s wildfire season now spans nearly the full calendar year. [read post]
23 May 2023, 11:14 pm
Financial Industry Regulatory Authority (FINRA) is the self-regulator that oversees brokers and brokerage firms. [read post]
23 May 2023, 9:01 pm
Today, nearly 75 years later, the private fund industry has grown to $25 trillion[8] in gross asset value amongst tens of thousands of funds[9]—larger than the entire $23 trillion commercial banking sector.[10] Private fund advisers playan important role in each sector of the capital markets, whether it’s equities, treasuries, corporate bonds, mortgages, municipals, private credit, loan origination, or many other markets. [read post]
23 May 2023, 12:41 pm
FINRA Sanctions Axos Invest LLC for Reg BI Failures According to the Financial Industry Regulatory Authority (FINRA), the self- regulator has reportedly censured and fined Axos Invest LLC $75,000 for regulatory issues. [read post]
23 May 2023, 12:58 am
The council is “considering what further action may be appropriate,” the Financial Times reports. [read post]
22 May 2023, 10:59 am
FINRA Sanctions American Wealth Management for Reg BI Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined American Wealth Management $35,000. [read post]
