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Financial Regulators Have Gotten the Memo—The “Brand Memo”

21st September 2018

USA

SEC and FINRA File Three Unrelated Enforcement Actions Charging Digital Assets-Related Securities Law Violations

21st September 2018

USA

Broker-Dealer and Affiliate Agree to Pay More Than US $12 Million to Resolve SEC Charges for Allegedly Misleading Dark Pool Practices

21st September 2018

ESMA Publishes First Systematic Internalizer Calculations Data for Investment Firms Under MiFID II

15th August 2018

Tinker, Tailor, Volcker Simplify: Bank Regulators Propose Revisions to the Volcker Rule

13th June 2018

With the EU’s Global Data Protection Regulation Quickly Approaching, Policyholders Should Act Now to...

16th May 2018

The year of blockchain: Global legal framework begins to take form

6th March 2018

FINRA 2018 Annual Regulatory and Examination Priorities Letter Makes No Mention of a Fiduciary...

1st March 2018

Regulation A+: For Smaller Companies (and ICOs) a Better Way to Go Public?

1st March 2018

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