All United States articles – Page 169
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SEC Chair Clayton’s SDNY nomination may melt in harsh spotlight
SEC Chairman Jay Clayton will be in for the fight of his life to secure a nomination to become the next U.S. Attorney for the Southern District of New York.
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Like it or not, Clayton caught up in Trump machine
SEC head Jay Clayton has largely stayed out of the spotlight … until now, as he finds himself embroiled in a controversy that wasn’t of his own making. Such is life as a cog in the Trump machine.
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Supreme Court: SEC can recoup ill-gotten profits, with caveats
The U.S. Supreme Court reaffirmed the SEC’s authority to recoup profits obtained from fraudulent schemes but limited the scope of what can be sought through disgorgement.
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Don’t let Trump’s actions lower the bar for checks and balances
The fact that President Trump is so unabashedly bold about holding his finger on the scales of justice should remind CCOs that ethics and rules can’t be bent for political (or business) gain.
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Trump nominates Democrat Crenshaw to SEC
President Trump has nominated Caroline Crenshaw to be a member of the Securities and Exchange Commission, filling the Democratic seat left vacant by the resignation of Commissioner Robert Jackson.
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Analysis: Learning to learn from our mistakes with AML
Scientists and doctors cannot succeed or make medical breakthroughs without being prepared to fail. The same approach should be taken to combating anti-money laundering, writes financial crime expert Martin Woods.
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Deutsche to pay $10.3M for swap data reporting, spoofing practices
Deutsche Bank will pay a total of $10.3 million to resolve two separate CFTC settlements: one for alleged violations of various swap data reporting and other regulatory violations and the other for spoofing practices by two of its traders.
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From financial crisis to coronavirus: Shifting compliance trends in financial services
Keeping up with regulatory change; budget and resource allocation; and data protection issues were cited as the top three compliance challenges in the financial services industry, according to a recent study.
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DOJ proposes rollback of legal shields for Twitter, Facebook
The Department of Justice has proposed a series of rollbacks of protections for online platforms that would encourage them to police their content.
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Tumultuous U.S. leadership hurts image of compliance
If “tone at the top” is a benchmark for determining ethical leadership, where does the United States stand?
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Why a principles-based regulatory approach works for CFTC
CFTC Chairman Heath Tarbert seeks to let the evolving commodities market breathe with a “principles-based” regulatory approach.
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Report slams ‘woefully lax’ cyber-security controls at CIA
Cyber-security protections deployed for some of the nation’s most secret data was “woefully lax,” according to a 2017 intelligence brief that detailed shortcomings at the CIA following the agency’s 2016 data breach.
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Contact tracing app development stunted by inaction in Congress
As federal officials dicker over details in a federal data privacy law, the coronavirus continues to spread. Development of a key technological tool in the fight is being kneecapped by their inaction.
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Former Bumble Bee CEO sentenced 40 months for price-fixing
The former CEO and president of Bumble Bee Foods was sentenced to serve 40 months in prison and pay a $100,000 criminal fine for playing a leading role in a three-year antitrust conspiracy to fix prices of canned tuna.
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Regulators skew virtual with summer events calendar
Despite the coronavirus pandemic throwing a wrench into the events industry, U.S. regulators are still planning Webinars and other opportunities this summer to engage with the public.
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DOJ Civil Division head to resign
Jody Hunt, head of the Justice Department’s Civil Division, informed staff in an e-mail that he will resign from his role, effective July 3.
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U.S. regulators boast coordination in addressing coronavirus fraud
Testimony provided by several agencies before a U.S. Senate Judiciary Committee hearing offers valuable insights for chief compliance and risk officers regarding where coronavirus fraud threats may lurk, especially in the financial services and healthcare sectors.
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Dems propose coronavirus whistleblower protection bill
A group of prominent Democratic legislators has proposed a whistleblower protection bill designed to help uncover fraud and waste in the trillions of dollars worth of coronavirus-relief funds allocated by Congress.
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SEC guidance: Areas of focus for Reg BI
The SEC confirmed the June 30 compliance date for its Regulation Best Interest rule, in addition to sharing a handful of areas that deserve attention when making recommendations to investors in accordance with new policy.
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Be mindful of gender equity with return-to-work policies
As you’re making your back-to-work policies during the emergence from our collective quarantines, take into consideration that “optional” isn’t an option for everyone.