Carl Ayers
The Senate has confirmed President Trump’s choice to be the fifth SEC commissioner. Elad Roisman, once sworn in, would replace Republican Commissioner Michael Piwowar, who ...
Has the annual compliance meeting outlived its usefulness? Some of your peers think so, and FINRA itself may be open to reconsidering it. You know ...
It’s the IT equivalent of leaving your front door open to the world. The CFTC has fined the futures commission merchant AMP Global Clearing ...
A spate of enforcement actions lately has highlighted the compliance risks around securities lending, with the $1.6 billion fine against Deutsche Bank Securities topping the ...
Those who decry the SEC for so-called regulation through enforcement may have found a new ally. The newly-formed group New Civil Liberties Alliance has ...
Once again, evidence emerges of the heavy cost of not listening to concerns raised by compliance staff. When a compliance official at Aegon USA ...
Mismarking can be costly. Citigroup Global Markets has paid a $5.75 million fine for failing to supervise a group of traders who mismarked the value ...
Imagine informing your regulator about the need for more compliance resources. In effect, that’s one of the elements the CFTC will require in the annual ...
With Senate confirmation Aug. 28 of two CFTC commissioner nominees, Dawn Stump and Dan Berkovitz need only to be sworn in to assume their new ...