The SEC has issued a broad request for information and public comment on the use of “digital engagement practices” and analytics technology by broker-dealers and investment advisers.
The CFTC and FinCEN recently announced a settlement with BitMEX for $100 million to resolve an enforcement action related to the exchange’s failure to register as a futures commission m...
The Group of Thirty (G30) has published a report analyzing weaknesses in the U.S. Treasury market and setting out recommendations designed to improve market resilience in periods of stress.
Financial services regulatory reform will continue to be active in 2021, with the Biden Administration focused on activity at the intersection of financial regulation and social policy. ...
The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activity Reports (SARs) reinforces the SEC’s focus on anti-money laun...
The Securities and Exchange Commission’s (SEC) Division of Examinations (the Staff) recently issued a risk alert reminding broker-dealers (firms) of their obligations under anti-money l...
The use of artificial intelligence and machine learning (AI) in the financial sector has become a high priority for the U.S. financial regulators. In a rare event, five of them have joine...
Financial services regulatory reform will continue to be active in 2021, with the Biden Administration focused on activity at the intersection of financial regulation and social policy. ...
Digital dollars and central bank digital currencies (CBDC) are in the spotlight, and questions abound as to the potential design, availability and functionality of a CBDC in the United St...
Davis Polk partner Zachary Zweihorn was the contributing editor for the 2021 edition of Getting the Deal Through: Financial Services Compliance, a compilation of the rules and approaches ...
