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Comment and Analysis

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Regulation of Products

The future of SEC enforcement under the Biden administration

Gary Gensler, who became a Goldman partner at the tender age of 30, left to become assistant secretary of the Treasury for financial markets in 1997 and later helped draft the Sarbanes Oxley Act 2002. He is now ...

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Fines and Punishment

ASIC enforcement: the latest figures

The Australian Securities and Insurance Commission has published some figures that outline its efforts to enforce its rules during the second half of 2020. These have increased substantially as a result of the F...

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Jurisdiction Focus

French AMF publishes annual report

On the occasion of the publication of its annual report, France's Autorité des Marchés Financiers has announced its intention to do more to encourage shareholding among private individuals, promote better coll...

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Jurisdiction Focus

Norwegian regulation in 2020 - a snapshot

This article contains a brief overview of the regulatory efforts of Finanstilsynet, Norway's financial regulator, in 2020. The Coronavirus pandemic has done major damage to the financial markets and the regulato...

Latest News

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Jurisdiction Focus

HM Government to pay LCF investors £120 million

HM Treasury plans to set up a compensation scheme for bondholders who suffered losses after investing in London Capital & Finance. Megan Butler of the Financial Conduct Authority has apologised for her organisat...

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Anti-Money Laundering

The FCA's call for purposeful AML systems and controls

Speaking at the AML & ABC Forum at the end of March, Mark Steward, the enforcement director at the UK's Financial Conduct Authority, voiced his worries about some of the recent money-laundering investigations, l...