By Joe Mont2015-04-15T16:45:00
Image: Slamming the SEC and Justice Department for a “slap on the wrist” approach to enforcement, Sen. Elizabeth Warren, in a recent speech, also championed a slate of financial reforms, including a transaction tax to restrain high-frequency trading, restoring the former Glass-Steagall Act, and reducing the size and risk of ...
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2026-04-07T20:49:00Z By Adrianne Appel
A rule overhaul proposed by the U.S. Treasury Department’s Financial Crimes Enforcement Network is designed to reduce compliance burden, which would free up banks from tracking all but the most egregious illicit financial activities.
2026-03-26T18:01:00Z By Jaclyn Jaeger
The former U.S. chief compliance officer of London-based hedge fund Capula Investment Management, who alleged he was fired for escalating “significant regulatory compliance issues” to senior management, refiled his lawsuit in state court after his original complaint was dismissed in federal court on jurisdictional grounds.
2026-03-19T21:08:00Z By Aaron Nicodemus
The U.S. Securities and Exchange Commission’s Mark Uyeda told an audience of investment advisers that the SEC will no longer prioritize stand-alone enforcement actions for violations of the SEC’s rules on off-channel communications.
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