SEC Division of Examinations 2024 Examination…
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Articles, research and insights.
Article - 8 minutes read
What's Going on with GameStop, Robinhood and Hedge Funds?
It’s been a crazy week on Wall Street, with extreme gyrations in the stock prices of small companies nobody had ever heard of, pushing their values to billions of dollars. Here’s our analysis of what’s been going on, and why.
Article - 5 minutes read
What Does the OCC's Interpretive Letter Mean for Custody of Crypto Assets?
Heralding a new wave in crypto asset custody services.
Research and Report - 1 minute read
A Year End Update on the LIBOR Transition
The LIBOR Transition is not being postponed. In our study released in January, market participants emphasized that significant work would remain, along with the support of the regulators, to hit those transition deadlines. Find more details in our new report.
Article - 6 minutes read
Hong Kong SFC Tightens Virtual Asset Regulations
Following the Securities and Futures Commission’s introduction of virtual asset exchanges regulatory regime in November 2019, the FSTB has recently issued a consultation proposing a new licensing regime for VA exchanges under the Anti-Money Laundering and Counter-Terrorist Financing Ordinance.
Article - 6 minutes read
EU Directive and Crowdfunding Regulations in Belgium
Europe has been lagging behind in the crowdfunding industry compared to the rest of the world. The introduction of the European Crowdfunding Service Providers for Business will, according to Sia Partners' analysis, facilitate crowdfunding on an international level for all European Member States.
Article - 8 minutes read
When Did Management Information Stop Informing Management?
Where organisations go wrong and how to fix it.