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FCA work in review September 17 – 23, 2024
Our at-a-glance guide to recent FCA activity.
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OPINION: Challenges and balances for Consumer Duty one year on
One year into the FCA’s Consumer Duty, Gavin Stewart wrestles with the big supervision questions.
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Acting Comptroller Hsu calls for labeling of ‘systemically important banks’
Hsu’s remarks focussed on supervisory cooperation and the transformation of bank supervision over the past decades.
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CFTC orders BNY Mellon to pay $5m for swap reporting, supervision lapses
The CFTC said the firm failed to properly supervise its swap dealer business with respect to swap data reporting.
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FINRA settles with Barclays Capital over fingerprinting, screening issues
FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.
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‘Widespread recordkeeping failures’ – SEC charges mean 26 firms pay more than $390m combined
Three of the firms received credit for self-reporting.
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Podcast: Deirdre Patten and Julie DiMauro on business continuity plans
BCPs can help your organization deal with difficult situations, ensuring it can continue to function with as little disruption as possible.
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Harassment claim puts supervision of off-channel comms in spotlight
The federal lawsuit features allegations of harassment and supervisory failures.