Julie DiMauro
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FCC proposes stronger KYC rules and penalties on voice service providers
Comment sought on requiring originating providers to obtain identification information from new and renewing customers and on retaining the data for a set duration.
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Cybersecurity in the age of AI and geopolitical conflict
The US remains on heightened alert for attacks from Iran-aligned hackers and wants the biggest names in corporate America to monitor the cyber vulnerabilities discovered by agentic AI.
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US regulators recraft AML rules to promote risk-based assessments
FinCEN also seeks to oversee more of the AML/CFT supervision process by requiring US banking regulators to consult with it before undertaking certain supervisory or enforcement actions.
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JPM’s Dimon issues bold vision in annual letter citing geopolitical risk and more
Lengthy letter mentioned global conflicts, inflation pressures, and private credit vulnerabilities that could produce headwinds.
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Tom Hardin discusses his rise and fall as ‘Tipper X’
Hardin wore a covert wire over 40 times for the FBI, helping them conduct “Operation Perfect Hedge,” the largest insider trading investigation in a generation. He told GRIP about his book and lessons learned.
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FINRA launches Financial Intelligence Fusion Center
Member firms can submit any threat intelligence they have via the FIFC portal and get targeted notifications.
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DOL unveils ‘historic’ proposal to allow alternative investments in 401(k)s
It boldly establishes which considerations fiduciaries need to address with respect to all of the investment alternatives available for a 401(k) plan, not just those products with alternative investment features.
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Rebecca Fike talks to GRIP about SEC enforcement and more
Fike, former SEC senior counsel, told us about the effects of uncertainty and tempered enforcement activity at the SEC on her clients, and her advice to them.