Misuse of off-channel apps leads to $549m in penalties from SEC, CFTC
The SEC and CFTC hand out sizable, combined penalties for recordkeeping and supervision failures relating to off-channel communications.
HSBC and Scotia Capital charged for off-channel comms recordkeeping failures
SEC and CFTC charge HSBC and Scotia Capital with recordkeeping failures using off-channel comms.
Autonomous AI-based trading strategies could complicate questions of firms’ responsibility for model behavior.
Our in-brief roundup of notable stories from the last week.
The proposal would restore certain CPO and CTA exemptions that were in place until 2012.
Our pick of the latest crypto stories.
The agency said a growing number of filings have failed to provide sufficient notice or compliance analysis.
Our in-brief roundup of notable stories from the last week.
Our in-brief roundup of notable stories from the last week.
The broker-dealer failed to properly monitor more than 61,500 foreign currency wires after previously settling similar charges in 2018.
Further Reading
