Articles

Results 1 to 5 of 16


Implications of FINRA’s Recently Released 2022 Sanction Guidelines

USA - October 20 2022 FINRA’s recent overhaul of its Sanction Guidelines is the largest and most significant in two, if not three, decades. It would be quite the…

Eric Chartan, Shea O. Hicks, Joshua Watts

Mid-Year Check-In: CFPB Taking Aim at The Fair Credit Reporting Act

USA - July 27 2022 Earlier this year, we wrote that the Consumer Financial Protection Bureau (CFPB) was signaling a not-so-quiet transition to aggressive compliance…

Matthew M. Petersen

Banking Bites - April 27 2022

European Union, United Kingdom - April 27 2022 The UK’s Financial Conduct Authority (FCA) has launched its new three-year strategy, with the stated aim of improving outcomes for consumers across…

Gilly Bradbury, Daniel Csefalvay, J. Ashley Ebersole, Polly James, Adam Jamieson, Sarah Klein, Pedro J. Martinez-Fraga, Naomi Miles

Observations from a Review of FINRA’s 2021 Sanction Guidelines

USA - December 6 2021 Below is the newest sanction guideline for violations of the Consolidated Audit Trail System rules. This guidance is not found in the published…

Eric Chartan, Shea O. Hicks, Joshua Watts

The SEC Declares “You All Fail” - Summary of Recent SEC Examinations into Advisers Offering Electronic Investment Advice

USA - November 22 2021 The number of investment advisers offering automated digital investment advisory services to their clients is on the rise. Accordingly, the SEC…

Andrew L. Adams, Eric Chartan, Shea O. Hicks