Observations
Jul 08, 2025Last week, the UK's Financial Conduct Authority (FCA) announced that it was expanding its non-financial misconduct rules beyond banks to 37,000 financial services firms starting in September 2026.
Observations
Jan 22, 2025Last week, the US Securities and Exchange Commission (SEC) announced civil penalties of $63 Million against 12 firms, including investment advisers and broker-dealers, for employee use of unauthorized messaging apps.
