Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Investment Management and Private Funds Roundtable – June 2020
Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Regulation Best Interest Videocast Series: Establishing An Investment Platform Post-Regulation BI
Investment Management Update - Focus on Data Privacy and Cybersecurity
November 1, 2023- The Federal Open Market Committee decided to maintain the target range for the federal funds rate at 5-1/4 to 5-1/2 percent. November 1, 2023- The U.S. Department of the Treasury's Federal Insurance...more
October 2, 2023- U.S. Department of the Treasury Assistant Secretary for Terrorist Financing and Financial Crimes Elizabeth Rosenberg gave remarks at the Association of Certified Anti-Money Laundering Specialists Assembly...more
December 15, 2022- The New York State Department of Financial Services released Guidance to banking organizations regulated by the NYDFS that wish to engage in virtual currency-related activities....more
November 1, 2022- Deputy Secretary of the Treasury Wally Adeyemo delivered remarks at the semi-annual Joint session of the Financial and Banking Information Infrastructure Committee andFinancial Services Sector Coordinating...more
September 13, 2022- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "New Consumer Financial Products and the Impacts to Workers."...more
August 4, 2022- Following its stress test earlier this year, the Federal Reserve Board announced the individual capital requirements for all large banks, effective on October 1, 2022....more
Editor's Note - State Regulators Sue OCC Over Federal FinTech Charter. On April 26, the Conference of State Bank Supervisors (CSBS) sued the Office of the Comptroller of the Currency (OCC) in the U.S. District Court for...more