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"New streamlined SEC disclosure meant to aid investors often leaves them in the dark In July, millions of American investors received a new government-mandated form from their financial planners that required advisers to disclose past misdeeds. But hundreds of the firms didn’t tell the full truth,...

GPB Capital | Law360 | August 10, 2020 "Law360 (August 10, 2020, 2:43 PM EDT) -- A former compliance examiner accused of stealing information from the U.S. Securities and Exchange Commission sought a rare criminal bench trial over prosecutors' objections on Monday, saying it is the...

Reg BI | Law 360 | June 5, 2020 Law360 (June 5, 2020, 7:17 PM EDT) -- With the compliance deadline for the U.S. Securities and Exchange Commission's Regulation Best Interest fast approaching on June 30, broker-dealers and those who advise them are gearing up for a...

Economic crisis | The Economist | March 18, 2020 When Bernie Madoff owned up to a $65bn Ponzi scheme in December 2008, it was not out of guilt. He knew the game was up. Three months earlier Lehman Brothers had imploded. The market meltdown sent clients clamouring...

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