CFTC Fines Morgan Stanley for Records Failures

By Joe Mont2014-09-15T13:00:00

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Article
CFTC Wants Lots of Swaps Data and Wants It Fast

2014-09-23T09:30:00Z By Joe Mont
Article
Crypto network Paxful will plead guilty to BSA violations, pay $4M fine, shut down

2025-12-11T21:14:00Z By Oscar Gonzalez

Paxful, a crypto peer-to-peer network, will plead guilty to multiple federal criminal charges related to violations of the Bank Secrecy Act (BSA), among others. The plea agreement follows years of scrutiny from regulators over anit-money laundering (AML) compliance failures.
News Brief
SEC exam priorities for 2026 signal heightened focus on firmwide compliance

2025-12-05T19:25:00Z By Oscar Gonzalez

The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.