All Finance articles – Page 50
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Principal Financial appoints general counsel
Financial investment management company Principal Financial Group announced the appointment of Christopher Littlefield as its new general counsel.
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Santander names chief risk officer amid leadership shuffle
Santander has named Sarah Drwal its new chief risk officer among several executive-level changes at the company.
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Itiviti, Capital Market Solutions partner on SEC rule
Itiviti announced a partnership with Capital Market Solutions to provide a complete regulatory reporting solution for SEC Rule 613 (Consolidated Audit Trail).
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Tower Research Capital to pay $67.4M in ‘spoofing’ case
Tower Research Capital will pay a combined $67.4 million to the DOJ and CFTC to resolve criminal charges on unlawful trading in the U.S. commodities market.
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Wells Fargo to pay $14M for violating swap dealer business conduct standards
The U.S. Commodity Futures Trading Commission has issued an order filing and settling charges against Wells Fargo for violating multiple swap dealer business conduct standards.
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Square discontinues adjusted revenue metric following SEC warning
Square is discontinuing the use of adjusted revenue following receipt of a comment letter from the SEC, which has been eyeing reports for use of measures not in compliance with its updated revenue standard.
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Coupang names chief accounting officer
Coupang, a Korea-based e-commerce company, has named Michael Parker as chief accounting officer.
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New NICE Actimize offering aimed at fighting fraud
NICE Actimize has introduced its Federated Learning capability designed to provide financial services organizations with higher fraud detection rates.
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Mastercard encourages unity with data privacy initiative
Mastercard is inviting other companies to join it in addressing individuals’ privacy rights with the launch of its Data Responsibility Imperative.
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Despite reputation, CFPB not toothless under new leadership
Mounting criticism for going too soft on the financial services industry under Trump has not stopped new CFPB Director Kathleen Kraninger from putting her own stamp on the agency. The latest enforcement actions offer valuable insights for compliance officers and corporate counsel.
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Key U.S. regulators join global financial network
The SEC, CFTC, FDIC, and OCC have joined a group of 50 financial authorities from around the world that comprise the Global Financial Innovation Network.
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Risk management tips from Tullett Prebon compliance woes
The U.K. Financial Conduct Authority fined Tullett Prebon (Europe) Limited £15.4 million (U.S. $19.8 million) after its compliance department failed to implement adequate risk management systems.
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Big Tech, banking policymakers clash over cloud computing
The “move fast and break things” mantra of the tech world rubs up against a more rigid banking industry as the two find their way in the cloud—but is more legislation really necessary?
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SEC seeks to thwart cryptocurrency masquerading as ICO
The SEC is taking a different approach to target initial coin offerings than it has in the past in the case of its complaint against Telegram Group and its wholly owned subsidiary TON Issuer.
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Foreside acquires Compliance Advisory Services
Foreside, a provider of regulatory and compliance service offerings to clients in the global asset management industry, announced its acquisition of financial institution consulting firm Compliance Advisory Services.
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EY launches public finance management blockchain solution
EY announced the launch of EY OpsChain Public Finance Manager, a blockchain-enabled solution designed to help governments improve their processes for financial management of public funds.
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Fed rule tailors bank regulations to link requirements to risk
The Federal Reserve Board of Governors approved final rules that tailor its regulations for domestic and foreign banks to more closely link regulatory requirements to the institutions’ risk profiles.
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Libra springs a leak: Visa, Mastercard, others bail
Visa, Mastercard, and a handful of other companies have followed in the footsteps of PayPal, abandoning the Facebook-led Libra Association amid harsh regulatory criticism surrounding the planned cryptocurrency offering.
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SEC Bitwise Bitcoin ETF rejection may signal end to cryptocurrency trades
In a 112-page order, the SEC argued against allowing shares of the Bitwise Bitcoin exchange traded fund to be listed or traded because of the likelihood of financial crime surrounding the cryptocurrency.
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Zuckerberg to testify before Congress on Libra
Facebook CEO Mark Zuckerberg will testify before the House Financial Services Committee on Oct. 23 regarding his company’s planned venture into the cryptocurrency space.