All Knightron editorial and analysis tagged with this topic.
Blockchain data shows Lazarus Group sold over $30 million in bitcoin on the decentralized derivatives platform in three weeks, raising compliance questions.
On July 9, the Federal Reserve Board announced an enforcement action with TS Banking Group, Inc. and TS Contrarian Bancshares, Inc. Investors should parse the bank supervisory order for potential capital and liquidity restrictions, dividend and growth limits, and governance requirements.
The SEC’s Office of Municipal Securities refreshed its Registration of Municipal Advisors FAQs to sharpen how municipal advisor registration and recordkeeping apply in practice. The move signals supervisory focus and has operational implications for advisors and issuers.
A review reported by the Financial Times says the oversight regulator has “lost its way,” sharpening focus on SRA supervision and the UK’s legal oversight model. Uncertainty could lift compliance, liquidity, and indemnity costs until reforms are clarified.
