Carl Ayers
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 ...
Don’t say you weren’t warned. In early May, announcing a settlement with Fifth Third Securities over the marketing of variable annuities, a top FINRA ...
The Commodity Futures Trading Commission (Commission or CFTC) is proposing rule amendments pursuant to its authority under section 4(c) of the Commodity Exchange Act (CEA) ...
As SEC commissioners consider what to do next about their fiduciary duty proposals, supporters for a best interest standard may have a new poster boy. ...