Victorious Mark Cuban Says SEC Should Rethink 'Broken Windows' Strategy

By Bruce Carton2013-10-17T09:02:00

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Article
‘Broken Windows’ Strategy Raises Risk-Management Fears

2015-02-18T12:45:00Z By Joe Mont

The SEC has been pushing its “broken windows” enforcement strategy for more than a year now, chasing down minor infractions alongside larger securities violations. What have we learned? For starters, don’t expect isolated citations; larger sweeps get more bang for the SEC’s buck. As for compliance officers, their jobs will ...
Article
Behind the SEC's New 'Broken Windows' Enforcement Strategy

2013-11-05T00:00:00Z By Jaclyn Jaeger
News Brief
FCA fines Monzo digital bank $28 million for AML, KYC failures

2025-07-08T20:09:00Z By Ian Sherr

Britain’s Financial Conduct Authority has fined the online bank Monzo the equivalent of more than $28 million for failing to properly collect customer information and protect against financial crimes. The move is the latest in a series of efforts by British authorities to combat chronic money laundering and other crimes ...