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...
by AdrianaAMLP | Feb 23, 2024
In order to be removed from FATF monitoring, a jurisdiction must address all or nearly all the components of its action plan. Once the FATF has determined that a jurisdiction has done so, it will organise an on-site visit to confirm that the implementation of the...
by Jyotsna Bucktowar | Feb 13, 2024
This alert includes an overview of key OPC evasion methods and recommendations for identifying such methods and mitigating their risks and negative impacts and Information on how to report OPC suspected breaches across the price cap coalition…
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