Legal and regulatory compliance risk
Legal and compliance head says agency has been “very receptive” of industry concerns
Caymans court: question manager's authority and letter’s interaction with fund constitution
Agency “much more aggressive” in fining firms for reporting errors, say lawyers
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More Legal and regulatory compliance risk articles
Bank says economics, not regulation, drove physical commodities sale
Unintended consequences of AIFMD
Ferc is now monitoring markets in near real time for evidence of manipulation, warns enforcement official
A confession to make
California is set to launch the world’s second-largest carbon market, but threats of litigation have kept many potential market participants sitting on the sidelines
Risk managers are facing greater complexity because of regulation and other issues, Ferma is told
A new alphabet soup of financial services and energy market regulations are making firms nervous about their ability to comply, said panellists at Energy Risk's Central and Eastern Europe conference
ComPeer survey of wealth management firms finds middle-office heads highly valued, as industry faces 'onerous regulatory burden'
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