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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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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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Clear crypto rules top priority as SEC unveils Spring 2025 regulatory agenda
SEC wants to provide more crypto regulatory clarity, plus support capital formation and narrow disclosure mandates.
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The ghost in the machine: Why culture still eats RegTech for breakfast
If billions in annual technology spend still leaves us exposed, it’s worth asking: Is the issue a lack of tools, or a lack of organizational capacity to use them effectively?
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Robust recordkeeping and comms monitoring essential says FCA
Study reveals picture of uneven compliance and continued breaches by senior staff.
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DOJ charges 324 defendants in largest healthcare fraud initiative in its history
The collaborative Takedown effort targeted healthcare fraud that victimizes patients, taxpayers and government programs.
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Ex-CEO sentenced in first prosecution for stock sales via 10b5-1 trading plans
DOJ says he avoided $12.5m+ in losses by trading pursuant to two Rule 10b5-1 trading plans while allegedly in possession of MNPI.