Compliance Into The Weeds - Year End Review, Part 1
Gamification tactics and investment advice from social media influencers and chat rooms are just a couple of the disruptive technologies and behaviors that are capturing the attention of regulators in 2021 and forcing them to...more
The European Securities and Markets Authority has issued a statement on the requirements under the EU Market Abuse Regulation for firms and individuals that make investment recommendations on social media. ESMA is concerned...more
WHAT TO CONSIDER TO AVOID A SPIRAL, IF YOUR COMPANY IS THE NEXT TO GO VIRAL. The recent meteoric rise (and subsequent fall) of GameStop, AMC Theaters and a host of other “meme stocks” has prompted hedge funds, investment...more
In a much-anticipated [well, for some of us central bank nerds, at least] to the Economic Club of NY, Fed Chair Powell on Wednesday acknowledged that pent-up consumer demand unlocked by a big government stimulus package could...more