Topics covered in this issue include:
SEC chairman emphasizes focus on individual accountability and cybersecurity as key themes in regulatory approach to financial markets.
In response to confusion created as the SEC and FINRA implemented their respective pay-to-play regulatory frameworks, the Division of Investment Management recently issued guidance regarding the potential for related enforcement actions against investment advisers.
After warning investors about the potential risks associated with digital currency offerings, the SEC launched an enforcement action against an allegedly fraudulent ICO, showing the regulator's ongoing focus in this emerging sector.
The U.K.'s looming Brexit will have significant consequences for London-based asset managers and has prompted many to consider the complex option of relocation within the EU.
European NPLs have become an increasingly popular investment opportunity for hedge funds and investment banks. However, firms considering investing in European NPLs should be aware of the regulatory pressures surrounding such transactions.
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