Regulators

'Strict liability,' steep penalties should spur AML action, expert says

The industry is staring down a portentous, menacing road of new regulations.

Case offers early lessons in delegation, cooperation

Advocate sees sign of industry's maturity

Ahead of proposed audit rule, staff has gone deep on audit trail

'A lot of smaller and mid-market funds have no idea what’s about to happen—and even when it happens, they still may not have any idea,' ...

'A particular concern because of its size and use by a broad range of financial firms,' Biden Administration says

Commissioner Peirce condemned the proposal, calling it a “sea change” and a standing insult to the “well-heeled, well-represented investors who can fend for themselves”

'America acknowledges... its own corruption problem'

Second-ever risk alert rings alarms over accurate disclosures, advertising, books-and-records, due diligence and hedge clauses