All Regulatory Enforcement articles – Page 125
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Blog
Associate director of SEC Enforcement Division leaving the agency
Gerald Hodgkins, an Associate Director of the Division of Enforcement at the Securities and Exchange Commission, will leave the agency at the end of this year for private practice, the agency announced.
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SEC charges operators of $1.2B Ponzi Scheme
The Securities and Exchange Commission announced charges and an asset freeze against a group of unregistered funds and their owner who allegedly bilked thousands of retail investors in a $1.2 billion Ponzi scheme.
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FINRA fines Raymond James $2M for flawed e-mail monitoring system
The Financial Industry Regulatory Authority has fined Raymond James Financial Services $2 million for failing to maintain reasonably designed supervisory systems and procedures for reviewing e-mail communications, serving as a warning to compliance officers to review FINRA's guidance concerning the review and supervision of electronic communications.
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Senate approves SEC commissioners after one last look at their views
Robert Jackson, a Democrat, and Hester Peirce, a Republican, will fill two seats on the SEC that have remained vacant since 2015.
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FOR: SEC political disclosure rule
To help companies manage risk, the Securities and Exchange Commission should mandate what smart organizations are already doing: disclosing political contributions.
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AGAINST: Wrong tactic and agency
Requiring public companies to disclose their political contributions is a solution in search of a problem, especially given how little corporate money actually goes into elections.
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CFTC launches virtual currency resource web page
The Commodity Futures Trading Commission announced the launch of a new virtual currency resource Web page, a central repository for CFTC-produced resources about virtual currency and is designed to educate and inform the public about these commodities, including the possible risks associated with investing or speculating in virtual currencies or ...
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CFTC issues guidance on CTA registration requirements under MiFID II
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight this week issued interpretative guidance, clarifying commodity trading advisor registration requirements resulting from the European Union’s MiFID II research compensation provisions for investment managers.
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Going back to basics with whistleblowers
On a fundamental level, people want to know that they are being taken seriously, which is why it is so important that whistleblower policies work in practice, and not just on paper.
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Aggressive global anti-fraud enforcement to continue
If you thought that enforcement actions like Odebrecht and Vimpelcom were behind us, guess again. They were just the tip of the iceberg. Welcome to the enforcement era.
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How the CFTC oversees bitcoin futures
Three exchanges regulated by the Commodity Futures Trading Commission this month self-certified new contracts for bitcoin futures products. Sequentially, the CFTC issued a statement on the self-certification of bitcoin products by these exchanges.
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NLRB General Counsel memo a boon for employers
Newly appointed National Labor Relations Board General Counsel Peter Robb this week issued a memorandum encompassing at a high level his initial agenda as General Counsel, much of which should come as welcome news to employers.
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SEC awards company insider $4.1M for whistleblower tip
The SEC today announced an award of more than $4.1 million to a former company insider who alerted the agency to a widespread, multi-year securities law violation and continued to provide important information and assistance throughout the SEC’s investigation, making it the third whistleblower award in the past week.
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“FinCEN Exchange” seeks to enhance public-private information-sharing
The U.S. Department of the Treasury’s Financial Crimes Enforcement Network has launched the FinCEN Exchange program, intended to enhance information-sharing with financial institutions.
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SEC ratifies appointment of administrative law judges
The Securities and Exchange Commission has ratified its prior appointment of Chief Administrative Law Judge Brenda Murray and Administrative Law Judges Carol Fox Foelak, Cameron Elliot, James Grimes, and Jason Patil.
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Tax Cuts and Jobs Act passes in Senate
The Senate over the weekend passed its version of the Tax Cuts and Jobs Act, aligning closely to the corresponding bill passed by the House last month as it concerns executive compensation provisions—but the Base Erosion Anti-Abuse Tax provision has the renewable energy sector in a state of panic.
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Article
MiFID II, CAT, and the new reality of time
The Markets in Financial Instruments Directive and the Consolidated Audit Trail will be vital tools for regulating a financial sector increasingly moving at speeds too fast to follow.
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SEC awards $16M to two whistleblowers
The Securities and Exchange Commission awarded more than $8 million each to two whistleblowers whose critical information and continuing assistance helped the agency successfully bring an enforcement action.
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Tax Cuts and Jobs Act portends big changes to executive pay practices
The Senate Finance Committee and the House of Representatives have each proposed their own versions of the Tax Cuts and Jobs Act, and both portend dramatic changes to executive compensation and employee benefit practices.
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ArticleFacilitation payments now illegal in Canada
Now that facilitation payments under Canada’s anti-corruption law are officially illegal, any company doing business within Canadian jurisdiction needs to adjust its compliance policies and procedures accordingly.