Tag: Financial Regulation 2023
Goldman Sachs & Co. has settled charges with the Securities and Exchange Commission (SEC) for neglecting to supply comprehensive and precise securities trading details, otherwise known as blue sheet data. The prominent financial institution has consented to a penalty of $6m to conclude the SEC's allegations.
Regulatory fines slapped on global financial institutions saw a staggering 88% dip in H1 2023 compared to the same period last year. This significant decline was unveiled in a report from Fenergo, the top-tier provider of digital solutions in client lifecycle management (CLM).
RegTech firm Arctic Intelligence recently provided a guide to understanding and mitigating money laundering and terrorism financing risks.
The ESMA has outlined expectations for sustainability-related disclosures in both equity and non-equity prospectuses.
The Australian government has made it compulsory for the APRA to take into account climate change-related risks in its operations.