All Finance articles
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ArticleSix strategies for FinTech adoption in banking
Thomas Wan of the International Compliance Training Academy outlines strategies for navigating the dynamic terrain of FinTech adoption within the banking industry.
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E*TRADE names chief risk officer
E*TRADE Financial Corp. announced Brent Simonich will assume the chief risk officer role after Paul Brandow advised the company of his decision to retire, following over a decade of service to the firm.
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Great Rock tabs chief risk officer
Commercial finance company Great Rock Capital announced Kathleen Auda has joined the firm as chief risk officer.
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Lawmakers push for FTC probe into Envestnet data sales
Democratic Sens. Ron Wyden and Sherrod Brown and Rep. Anna Eshoo sent a letter to the Federal Trade Commission urging the agency to investigate Envestnet’s selling practices regarding consumer financial data.
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B. Riley Wealth Management tabs general counsel, CCO
B. Riley Wealth Management, a subsidiary of B. Riley Financial, announced the appointment of Michael Markunas as general counsel and chief compliance officer.
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FRC calls for better reporting to improve trust
U.K. regulator the Financial Reporting Council’s annual review shows many of Britain’s largest companies use a “tick-box” approach to compliance with the U.K. Corporate Governance Code—often providing scant explanations and little detail.
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Wells Fargo adds enterprise risk chief
Financial services giant Wells Fargo announced Price Sloan will join the company as chief strategic enterprise risk officer.
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UK Finance slams overregulation in financial services sector
UK Finance, the U.K. regulator responsible for the financial services sector, is offering recommendations to curb the abundance of intersecting rules in FS.
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Swiss firm, owner face charges in stock manipulation scheme
The SEC and DOJ have separately announced charges against a Swiss asset management firm and several individuals for engaging in a long-running stock manipulation scheme involving numerous U.S. issuers. The charges resulted from a failed attempt to circumvent disclosure requirements imposed by securities laws.
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UBP to pay additional $14M for hidden accounts
Union Bancaire Privée (UBP), a Swiss private bank, must pay an additional $14 million to the U.S. government for accounts it failed to disclose in an addendum to a non-prosecution agreement reached with the Department of Justice four years ago.
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Hong Kong’s SFC fines RHB Securities Hong Kong $6.4M
Hong Kong’s Securities and Futures Commission has fined RHB Securities Hong Kong $6.4 million for failing to comply with regulatory requirements on conflicts of interest and supervision of account executives.
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The Bancorp names new compliance, risk chiefs
The Bancorp, a service provider for non-bank financial service companies, announced the addition of Michael Althouse as chief compliance officer and Keith Owes as chief risk officer.
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AGCS report: Five biggest risks for senior managers in 2020
Allianz Global Corporate Specialty’s latest report highlights five “megatrends” that will have significant risk implications for senior management in 2020 that should be of interest to compliance officers.
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International banking regulator: Big Tech ‘may pose risks to financial stability’
Big technology firms like Amazon, Facebook, Twitter, and Google are a potential risk if they get more heavily involved in providing financial services, says the Financial Stability Board.
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Morgan Stanley fined $22.2M for manipulating bond prices
France’s financial market regulator has fined Morgan Stanley €20 million (U.S. $22.2 million) for manipulating the price of French and Belgian government bonds in June 2015.
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Jefferies to pay $4M for improper handling of ADRs
Broker-dealer Jefferies will pay $4 million to settle charges for the improper handling of “pre-released” American Depositary Receipts (ADRs), the Securities and Exchange Commission announced.
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Former Fed Chair Paul Volcker passes away
Paul Volcker, former chairman of the Federal Reserve and eponym to the controversial Volcker rule of the Dodd–Frank Act, died Sunday. He was 92.
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Principal Financial appoints general counsel
Financial investment management company Principal Financial Group announced the appointment of Christopher Littlefield as its new general counsel.
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Santander names chief risk officer amid leadership shuffle
Santander has named Sarah Drwal its new chief risk officer among several executive-level changes at the company.
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Itiviti, Capital Market Solutions partner on SEC rule
Itiviti announced a partnership with Capital Market Solutions to provide a complete regulatory reporting solution for SEC Rule 613 (Consolidated Audit Trail).
