Regulatory Compliance
Article
Proposed amendments to FINRA Rule 3110 alter regulatory expectation for WFH
FINRA has published amendments to Rule 3110.19, which would alter the frequency that on-site visits are conducted for home offices.
Regulatory Compliance
Article
Fed report on SVB crash: time for a change?
The U.S. Federal Reserve Board has published its review into the collapse of Silicon Valley Bank, unveiling wide-ranging failures from both sides of the regulatory fence.
Regulatory Compliance
Webinar
Webinar: Silicon Valley Bank crash and the consolidation of Swiss banking
On March 30, 2023 - in the midst of turbulent market events - regulatory luminaries Alex Viall and Rob Mason sat down to unpick the financial landscape.