Enforcement

Within the changes made, the CFTC revised procedures for when the Division chooses to inform persons who may be named in an enforcement through a ...

There’s a price to be paid for sidestepping the terms of a regulator’s enforcement action

The firm lacked adequate procedures to supervise whether customers were 'accurately informed about various features of the deferred variable annuities they were recommended'

A cycle exam of Deutsche Bank revealed that the firm failed to disclose expected investment banking compensation

The agency announces it's amending how it conducts investigations

“Retail access has been sort of inevitable. So, the question is, what does that mean for institutional LPs in that market?' Thorn Run's Chris Hayes ...

Firm accused of significantly exceeding FINRA limits for non-cash compensation tied to the supplying of perks to retail broker-dealer reps

Record-setting stoppage aggravated already longer holding periods, slower distributions and growing reliance on continuation and secondary vehicles to manage liquidity

European regulators outpace Americans for first time. 'Sanctions have become something that, really, we can’t ignore anymore,' LexisNexis Risk Solutions' Vincent Gaudel says.

New California laws have outsized impact, but Debevoise & Plimpton lawyers offer practical answers for private fund managers