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The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
Julie DiMauro in conversation with compliance supervision expert Donald McElligott on regtech solutions in the communications recordkeeping space.
Three of the firms received credit for self-reporting.
The Fed ordered the bank to enhance its AML and OFAC compliance regimes, citing “significant deficiencies.”
Common risks asset managers are facing as a result of their day-to-day trading activities.
The federal lawsuit features allegations of harassment and supervisory failures.
The firm was one of several businesses recently censured for a failure to maintain well-functioning and appropriate WSPs.
Surveillance pricing, dynamic pricing or price optimization – whatever it is being called, the FTC is talking a closer look.