by Jyotsna Bucktowar | Sep 10, 2024
Foreign regulators and financial institutions should be cautious about the establishment of, or any dealings with, new overseas branches or subsidiaries of Russian financial institutions, including new branches or subsidiaries of Russian financial institutions that...
by Jyotsna Bucktowar | Aug 25, 2024
To counter Russia’s invasion of Ukraine, the US government has implemented comprehensive sanctions and export controls. This alert outlines key restrictions imposed by the US Department of Commerce and the US Department of State, which significantly limit exports,...
by Jyotsna Bucktowar | Jul 1, 2024
RRD’s cybersecurity incident disclosure controls were ineffective in promptly delivering all pertinent information to management for decision-making, lacking clear guidance for reporting personnel. Their incident response policies did not set clear priorities or...
by Jyotsna Bucktowar | Jun 10, 2024
The US SEC recently won courtroom victories in insider trading and crypto actions, initiated its first off-channel communications action and initiated the second round of settled actions under the Advisers Act Marketing Rule…
by AdrianaAMLP | Mar 11, 2024
The FCA is asking Annex 1 Firms to carry out a gap analysis against the failings it has identified in the market, and to take immediate steps to close any identified gaps, with the implication being that the FCA will carry out further reviews to assess how firms have...
Recent Comments