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Ropes & Gray LLP

The FCA's 2024/2025 Annual Report on whistleblowing is out - here's what you need to know

Ropes & Gray LLP on

On Tuesday (24 June 2025) the FCA published its Prescribed Person’s Annual Report on whistleblowing (“24/25 Report”), which covers reports received and acted on with during the period 1 April 2024 – 31 March 2025 (the “24/25...more

UB Greensfelder LLP

LPL AWC Proves, Once Again, That Big Firms Can Buy Their Way Out Of Trouble That Would Kill Small Firms

UB Greensfelder LLP on

LPL may be the biggest BD in the country, with 21,500 reps operating out of almost 13,000 branch offices. Heaven knows how much money it brings in every year, but, goodness, it must be a lot. And good thing, too, given how...more

Allen Matkins

DBO Reports Record Number Of CFL Licensees

Allen Matkins on

California prohibits any person (unless exempt) from engaging in the business of a finance lender or broker without obtaining a license from the Commissioner of Business Oversight. Cal. Fin. Code § 22100(a). This applies to...more

Ballard Spahr LLP

California Department of Business Oversight Issues Warning to Lenders and Servicers Who Fail to File Mandatory Reports

Ballard Spahr LLP on

On June 29, 2018, the California Commissioner of Business Oversight warned California residential mortgage lenders and servicers that their failure to file annual reports could lead to enforcement actions. ...more

Stinson - Corporate & Securities Law Blog

SEC Charges 13 Private Fund Advisers for Failure to File Form PF

Stinson - Corporate & Securities Law Blog on

The SEC announced settlements with 13 registered private fund investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. ...more

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