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SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters
The Securities and Exchange Commission announced a new cooperation initiative out of its Enforcement Division to encourage issuers and underwriters of municipal securities to self-report certain violations of the federal securities laws rather than wait for their violations to be detected.
Originally Published:
Monday, March 10, 2014
Basel III monitoring results published by the Basel Committee
Basel Committee report which contains the results of its Basel III monitoring exercise.
Originally Published:
Thursday, March 6, 2014
The FCA’s regulatory approach to crowdfunding over the internet, and the promotion of non-readily realisable securities by other media - Feedback to CP13/13 and final rules
This paper contains the FCA’s approach to crowdfunding over the Internet and the promotion of non-ready realizable securities by other media.
Originally Published:
Thursday, March 6, 2014
Regulating the commodity markets: a guide to the role of the FCA
In this paper the FCA explains the regulatory framework and the role of the Financial Conduct Authority (FCA) as it relates to the commodity markets.
Originally Published:
Thursday, February 27, 2014
SEC Announces Initiative Directed at Never-Before Examined Registered Investment Advisers
The Securities and Exchange Commission announced that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at investment advisers that have never been examined, focusing on those that have been registered with the SEC for three or more years.
Originally Published:
Thursday, February 20, 2014