organisation: US Securities and Exchange Commission (SEC)

block trading
Analysis, Markets
January 23, 2024

Explainer: loose lips at the heart of Morgan Stanley’s block trading debacle

Investigation reveals the bank failed to enforce information barriers across divisions
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Analysis, Climate, Regulation & Supervision
October 4, 2023

Banks in the US face imminent tough emissions reporting requirements 

Banks in the US face the creeping prospect of mandatory disclosure of emissions, as progressive states take matters into their...
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Governance & Reporting, Markets, Regulation & Supervision
September 13, 2023

US clearing rule proposal could amplify multiple risks

Liquidity, cyber and concentration risks could rise under central clearing proposals for treasury and repo trades outlined by the US...
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Crypto, Digital & Resilience, Regulation & Supervision
September 11, 2023

US crypto crowd backs ambitious new bill

A highly-anticipated new bill to regulate digital assets would bring the US up to speed on crypto with other leading...
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Culture & Conduct, Digital & Resilience, Digital Transformation, Regulation & Supervision, Uncategorized
August 31, 2023

Banks scan emojis and slang for 'context'

Banks are probing emojis and slang to flag up suspicious comms – as regtechs zero in on innovative contextual analysis...
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Financial Stability, Governance, News, Prudential
August 22, 2023

‘Get on with it’: UK banks urge PRA not to delay Basel ‘endgame’ 

The UK prudential regulator is considering whether or not to copy US regulators and delay bank capital hikes, but UK...
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Emojis are seen displayed on MacBook Pro touchbar in this illustration photo taken in Krakow, Poland on April 13, 2022. (Photo Illustration by Jakub Porzycki/NurPhoto via Getty Images)
Culture & Conduct, Editor's letter, Regulation & Supervision
August 18, 2023

Editor’s letter: Your weekly news round-up

Welcome to Banking Risk & Regulation’s weekly round-up newsletter. What are your weekend plans? A trip to the 🏖️, time with ‍‍‍,...
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Digital Transformation, News, Operational Resilience, Regulation & Supervision
August 17, 2023

‘Half the banking world being left behind’ by US T+1 testing regime

UK banks claim they have been ‘left in the dark’ as the US aggressively pushes ahead with its T+1 rule...
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Image: Getty Images
Digital Transformation, Editor's letter, Operational Resilience
August 16, 2023

Editor's letter: Does AI fuel fraud? New data shows op risk incidents soar

Welcome back to the Banking Risk & Regulation newsletter. Data from the world’s largest operational risk association show a record number of operational...
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Culture & Conduct, Digital & Resilience, Editor's letter, Governance & Reporting, Regulation & Supervision
August 15, 2023

Editor's letter: China hits banks with data rules

Welcome back to the Banking Risk & Regulation newsletter. Banks have just nine more days to respond to a People's Bank of...
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Digital & Resilience, Governance, News, Regulation & Supervision
August 14, 2023

Three lessons for compliance managers on chat app snafus

Loose talk on WhatsApp can cost your employer millions. A Securities and Exchange Commission investigation into “off-channel” communications has wreaked...
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