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Understanding the Enhanced Regulation S-P Requirements | JD Supra
JD Supra· 6 days agoThe amendments apply to broker-dealers, investment companies, and registered investment advisers (collectively, “covered institutions”) and are designed to modernize and enhance the protection ...
When new federal regulations are formed, truckers' voices matter - TheTrucker.com
The Trucker· 6 days agoTruck drivers know a lot about government regulations. After all, their entire day must fit within...
India financial watchdog imposes $2.25 million penalty on crypto exchange Binance
Reuters via Yahoo Finance· 4 days agoMUMBAI (Reuters) -India's Financial Intelligence Unit (FIU) has imposed a fine of 188.2 million...
Japan hands business improvement orders to MUFG bank and securities tie-ups with Morgan Stanley
Reuters· 4 hours agoJapan's banking regulator handed business improvement orders on Monday to the banking and securities...
Supreme Court To Enter Into Judgment Upholding CFPB Rule
National Mortgage Professional· 7 days agoA long-awaited regulation protecting consumers from loan sharks will likely be put in place early...
Binance slapped with $2.25-M penalty by Indian financial watchdog | Invezz
Invezz· 4 days agoIndia’s Financial Intelligence Unit (FIU) has imposed a penalty of Rs 18.82 crore ($2.25 million) on...
Colorado banking leaders look ahead on interest rates, regulation and the economy - Denver Business...
The Business Journals· 7 days agoKevin Erickson, the Colorado market president for Texas-based Independent Financial, will act as CBA...
Hacker threatens to release incriminating Manchester City documents
The Telegraph via Yahoo News· 19 hours agoIn November 2018, German publication Der Spiegel claimed City and their sponsors manipulated...
JD Supra: The New Fiduciary Rule
JD Supra· 5 days agoThe DOL’s fiduciary regulation will be effective on September 23 of this year. As a result, beginning on September 23, one-time recommendations to retirement investors can ...
Danielle Wheeler
The National Law Review· 1 day agoDanielle Wheeler is an associate in the firm's Financial Services Group, where she focuses her practice on counseling investment advisers to hedge funds and private equity ...
