All Finance articles
-
Blog
Home Run Financing promotes GC to COO
Home Run Financing announced that Ryan Griffin, who has served as its general counsel and chief compliance officer for over five years, has been appointed as their new chief operating officer.
-
Blog
Genus Capital Management appoints sustainability chief
Genus Capital Management announced the appointment of Stephanie Tsui as the firm’s new chief sustainability officer.
-
News Brief
NYDFS expects banks, firms to cut risks posed by AI, according to new guidance
New York financial institutions are expected to address cybersecurity risks posed by artificial intelligence (AI), and new guidance from the New York Department of Financial Services is aimed at helping firms do just that.
-
Premium
Pace of innovation will make EU AI Act hard to enforce, experts say
Concerns about how robustly European member states may enforce the EU AI Act, which took effect on Aug. 1, are divided between if regulators will take a “light touch” approach or a sledgehammer for noncompliance. One thing’s for sure, the pace of AI innovation will make enforcement very difficult.
-
Blog
OKX appoints global risk chief
Global crypto exchange OKX announced the appointment of Yuri Mushkin as global chief risk officer.
-
Webcast
Nov 5 | Compliant First AI: Risk Management Best Practices for Financial Institutions in 2025
Attend this Compliance Week webinar to synthesize the current ”state-of-play” for current and proposed rules for the ethical and responsible use of AI in financial services settings.
-
News Brief
SEC penalizes Rimar CEO, holding company board member $524K total for ‘AI washing’
The Securities and Exchange Commission ordered the owner of Rimar Capital and a board member of its holding company to pay nearly $524,000 in penalties for defrauding investors with false and misleading statements about its use of artificial intelligence.
-
Premium
TD Bank fined nearly $3.1B by U.S. regulators for AML compliance failures
TD Bank will pay nearly $3.1 billion in penalties to four U.S. regulators to settle charges that it “chose profits over compliance” when it allowed three money laundering networks to filter more than $670 million in dirty money through the company.
-
Webcast
CPE Webcast: Trust and Technology: Cyber compliance in finance
In today’s rapidly evolving digital landscape, the stakes are high–protecting customer data, ensuring operational resilience, and maintaining trust are critical considerations for regulated industries.
-
Blog
Thesis* appoints general counsel
Thesis*, a venture studio funding and building brands on Bitcoin, announced the appointment of Katherine Snow as its new general counsel.
-
Premium
DOJ steps up enforcement approach against AI-powered cybercrime
The Criminal Division of the Department of Justice plans to heighten its focus on cybercrime, according to division head Nicole Argentieri.
-
Blog
Intellivo names chief legal officer
Intellivo, provider of innovative payments technology for health plans, payers, and providers, announced the appointment of Win Rawson as chief legal officer.
-
Blog
Bybit appoints legal, compliance chief
Cryptocurrency exchange Bybit announced the appointment of Robert MacDonald as the new chief legal & compliance officer.
-
News Brief
Starling Bank fined $38.5M for repeatedly onboarding high-risk customers
The U.K.’s Financial Conduct Authority fined Starling Bank, Britain’s first digital bank, nearly 29 million pounds (U.S. $38.5 million) for repeated failures related to onboarding high-risk customers.
-
News Brief
TD Bank unit to pay $28M in penalties for failing to properly supervise rogue trader
Broker-dealer TD Securities failed to prevent a trader from placing and then withdrawing thousands of false trades over the course of a year in part because its compliance department failed to follow up on red flags generated by the illegal trades, three regulators said.
-
News Brief
FINRA fines Merrill Lynch, BofA Securities $2.3M for reporting, registration failures
The Financial Industry Regulatory Authority issued two separate fines against Merrill Lynch and BofA Securities totaling nearly $2.3 million for reporting violations and failing to timely file amendments on registration forms for their registered representatives.
-
News Brief
FinCEN, OFAC sanction crypto platforms linked to Russia, cybercrime
U.S. and European law enforcement agencies have announced sanctions against two Russia-linked cryptocurrency platforms in their ongoing chase to snuff out Russian-linked financial platforms that assist cybercriminals.
-
Blog
LendingPoint adds risk chief
LendingPoint announced that Dan Shuntich has joined the executive team as chief risk officer.
-
Blog
ASX risk chief to retire
ASX’s Chief Risk Officer Hamish Treleaven has announced his intention to retire.
-
Blog
PCBB appoints chief risk officer
Financial firm PCBB announced the appointment of Radhika Lipton as chief risk officer.