All Finance articles – Page 64
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ArticleAGCS report: Five biggest risks for senior managers in 2020
Allianz Global Corporate & Specialty’s latest report highlights five “megatrends” that will have significant risk implications for senior management in 2020 that should be of interest to compliance officers.
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ArticleInternational banking regulator: Big Tech ‘may pose risks to financial stability’
Big technology firms like Amazon, Facebook, Twitter, and Google are a potential risk if they get more heavily involved in providing financial services, says the Financial Stability Board.
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ArticleMorgan Stanley fined $22.2M for manipulating bond prices
France’s financial market regulator has fined Morgan Stanley €20 million (U.S. $22.2 million) for manipulating the price of French and Belgian government bonds in June 2015.
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ArticleJefferies to pay $4M for improper handling of ADRs
Broker-dealer Jefferies will pay $4 million to settle charges for the improper handling of “pre-released” American Depositary Receipts (ADRs), the Securities and Exchange Commission announced.
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Former Fed Chair Paul Volcker passes away
Paul Volcker, former chairman of the Federal Reserve and eponym to the controversial Volcker rule of the Dodd–Frank Act, died Sunday. He was 92.
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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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ArticleTower 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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ArticleSquare 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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ArticleMastercard 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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ArticleKey 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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ArticleRisk 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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ArticleBig 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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ArticleSEC 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.