
Publication
Essential Corporate News – Week ending 11 July 2025
On 1 July 2025, the Quoted Companies Alliance (QCA) published three new board committee guides to accompany the QCA Environmental and Social Guide published in December 2024.
United States | Publication | May 11, 2020
The two-year Treasury yield hit a record low last week. Unattractive interest rates and a volatile stock market will cause investors to look for larger returns without involvement in the stock market. History teaches us that this combination leaves investors vulnerable to the lure of a Ponzi scheme.
Registered representatives, too, will be looking for alternatives for their customers that can give them the returns that more traditional investments currently cannot provide. Some representatives may also need more cash themselves, as both investors and those in the industry may be feeling the "pinch" from the current economic turmoil. Increased selling away activity is likely to follow.
And finally, with both registered representatives and back offices working remotely, supervision may be more challenging than ever.
Firms would be well-served to review their field supervision operations (and make an internal record of having done so), and might consider the following additional measures:
Send a Field Supervision Alert reminding registered representatives of the following:
Send an investor education reminder to customers that:
A robust supervisory structure with written documentation is a firm's best defense to a selling away claim. A few alerts and written updates now may pay big dividends in the future if a defrauded investor seeks to hold the firm liable for the unauthorized activities of its registered representative.
Publication
On 1 July 2025, the Quoted Companies Alliance (QCA) published three new board committee guides to accompany the QCA Environmental and Social Guide published in December 2024.
Publication
In the two years since our last climate litigation update, the prevalence and variety of global climate litigation around the world has continued to increase.
Publication
Selon un rapport conjoint du Bureau du surintendant des institutions financières (BSIF) et de l’Agence de la consommation en matière financière du Canada (ACFC), environ 70 % des institutions financières fédérales prévoient utiliser l’IA d’ici 2026 .
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