Tag Archives: Regulatory

FCA call for input on using technology to achieve smarter regulatory reporting

The FCA regularly explores how technology can make its regulation more efficient. One of the ways it does this is through TechSprints that bring together financial services providers, technology companies and subject matter experts to explore technological innovations. In November … Continue reading

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EBA letter regarding its opinion and report on matters relating to the regulatory perimeter under the CRD IV / CRR

The European Banking Authority (EBA) has published a letter from its chairperson, Andrea Enria, to Oliver Guersent, European Commission Director-General, DG FISMA, on the regulatory perimeter under the CRD IV / CRR. The letter is in response to Mr Guersent’s … Continue reading

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Current Economic Regulatory Framework Works for Freight Rail Customers

Although most infrastructure and transportation advocates in Washington, D.C. build their cases on the need for public funding, privately owned freight railroads make the opposite plea: Do not let government regulators disturb the current economic regulatory framework and reduce the … Continue reading

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Whistleblowing Is a Key Regulatory Tool

Corporate scandals are often the impetus for greater regulation. The Enron, Worldcom, and Arthur Andersen revelations led to the Sarbanes-Oxley Act, and the excesses of the financial sector paved the way for the Dodd-Frank Wall Street Reform and Consumer Protection … Continue reading

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Guest Post: Beware ICO Lawyers: As Regulatory Gatekeepers, You’re the Next SEC Target

Many readers may have noted SEC Jay Clayton’s January 22, 2018 speech about his agency’s scrutiny of cryptocurrencies, as well as the January 24, 2018 opinion piece Clayton wrote in the Wall Street Journal along with his counterpart from the … Continue reading

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