News & Analysis as of

Risk Management Financial Regulatory Reform Financial Regulatory Agencies

K2 Integrity

[Webinar] Collaborating for Digital Transformation: Innovation, Governance, and the Future of Financial Operations - April 9th,...

K2 Integrity on

Join our panel of experts for an insightful one-hour session on digital transformation in financial crime compliance. This webinar brings together leaders and innovators at the forefront of financial crime compliance...more

Mayer Brown

Interview with Jason Cave, Former Regulator Turned Industry Adviser

Mayer Brown on

Matt Bisanz interviews former financial regulator Jason Cave to discuss developments in resolution and recovery planning, as well as trends in third-party risk management....more

Mayer Brown

Interview with Isaac Boltansky from BTIG

Mayer Brown on

Matt Bisanz interviews Isaac Boltansky, Director of Policy Research at BTIG, about the risks and regulatory trends for the rest of the year....more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - November 2023

Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more

Goodwin

SEC Adopts Broad Exempt Offering Reforms

Goodwin on

In the News. The Securities and Exchange Commission (SEC) adopted broad exempt offering reforms; the Department of Labor (DOL) finalized a rule, with significant revisions from the original proposal, on ESG investments; the...more

5 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide