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FINTRAC hits five real estate brokerages with C$368k in AML penalties
Five firms face administrative monetary penalties after exams found gaps in AML programs and suspicious transaction reporting.
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SEC’s off-channel comms crackdown eases, compliance professionals say
A Citywire report says that RIAs are reporting softer exams on texts and messaging apps, but compliance teams are not letting their guards down.
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FINRA fine on broker-dealer spotlights supervisory controls
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
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Alternative Asset Management compliance roundtable focuses on tech
Leading compliance professionals from the alternative asset management sector gathered at Global Relay’s London offices to discuss current issues.
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FINRA fines Ally Invest $850k for recordkeeping failures
22.6 million business-related e-comms were left unpreserved, and 521,000 messages unreviewed, due to technical and policy failures.
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What happens when marketing meets compliance
Lessons from the SEC’s first Marketing Rule case.
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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.”