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Widening the net - SMR extended to FCA solo-regulated firms

European Union, United Kingdom - July 23 2018 Under new near final rules published this month, the Senior Managers regime (SMR) will apply to FCA solo-regulated…

Are administrative proceedings brought by the SEC constitutional? Former S&P executive says ‘no’

USA - February 20 2015 In January 2015, Barbara Duka, a former executive of Standard & Poor's Rating Services, sued the SEC in an attempt to stop it from bringing charges…