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SEC’s Atkins doubles down on cautious regulation in FT interview
“…in more recent years [the SEC] was not grounded in precedent [or] predictability. It would shoot first and then ask questions later,” Atkins said.
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Coinbase’s fight with SEC escalates as OIG admits deleting text messages
In its legal filing, Coinbase said it seeks the court’s intervention “to ensure that all available measures are taken to preserve and produce responsive records.”
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Citi, UBS, BNY and three others fined in CFTC Enforcement Sprint Initiative
Six major banks agreed to pay penalties to resolve compliance violations, most of them receiving maximum cooperation credit.
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Meridian Financial must pay $75,000 over Marketing Rule violations
The company claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said, among other charges.
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Synapse Brokerage CEO and CCO charged with misconduct by FINRA
Key alleged shortcomings include unreasonable supervision as well as failing to maintain books and records.
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Think before you “fix” it: CCO missteps lead to personal fines and bar
A stark reminder that Chief Compliance Officers are on the hook for misleading regulators during an examination.
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FCA’s light touch approach on off-channel comms is a warning shot, not a fine
Industry response to the FCA’s multi-firm review into off-channel communications and a comparison with the US approach.
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Robust recordkeeping and comms monitoring essential says FCA
Study reveals picture of uneven compliance and continued breaches by senior staff.