All Finance articles – Page 11
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Wirecard whistleblower laments EU speak-up protection inconsistencies
The European Union’s strong stance on whistleblower protection has been undermined by member states’ wildly different approaches to punishing organizations that fail to safeguard people who raise concerns, says Wirecard whistleblower Pav Gill.
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Blog
Geneva Financial welcomes chief compliance officer
Geneva Financial announced Jessie Ermel joined its leadership team as chief compliance officer.
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Blog
Galway Sustainable Capital adds general counsel
Specialty finance company Galway Sustainable Capital announced the appointment of Kara Parmelee as general counsel.
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Blog
Broadridge names chief legal officer
Financial technology company Broadridge Financial Solutions announced the appointment of Hope Jarkowski as chief legal officer.
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Blog
HKEX appoints group chief compliance officer
Hong Kong Exchanges and Clearing Limited announced the appointment of Lilian Cheng as group chief compliance officer.
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FCA exploring how Big Tech data can aid financial services
The U.K. Financial Conduct Authority reemphasized its desire to work with Big Tech firms to examine how their data might be useful to the financial industry.
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Blog
Amundi announces chief compliance officer
French asset management firm Amundi announced the appointment of Marc Noel as chief compliance officer.
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News Brief
FCA publishes guidance on anti-greenwashing rule
The U.K. Financial Conduct Authority issued new guidance on how to comply with its upcoming anti-greenwashing rule, which is set to take effect May 31.
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News Brief
SEC risk alert warns investment advisers of marketing rule missteps
Examiners with the Securities and Exchange Commission found investment advisory firms have generally done well creating processes to comply with the agency’s amended marketing rule but some have fallen short in ensuring compliance.
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Blog
Moors and Cabot announces chief compliance officer
Investment wealth advisory firm Moors and Cabot announced the promotion of Katherine Kelliher to senior vice president, chief compliance officer.
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Blog
Financial Gravity names chief compliance officer
Financial services solutions provider Financial Gravity Companies welcomed Kaili Winters as chief compliance officer and strategy implementation lead.
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News Brief
CFPB rule streamlines nonbank supervision designation process
The Consumer Financial Protection Bureau continued its push to establish supervisory authority over more nonbank financial companies with the adoption of a procedural rule to streamline the process for such designations.
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News Brief
FinCEN warns of fake U.S. passport cards used to commit fraud
The Financial Crimes Enforcement Network is warning financial institutions of counterfeit U.S. passport cards used to commit fraud and identity theft.
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News Brief
FINRA orders Barclays unit to pay $700K over conflicts of interest
A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades.
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News Brief
U.S., U.K. ban new Russian metal imports
The U.S. Treasury Department, in coordination with the United Kingdom, is clamping down harder on Russia’s ability to wage war against Ukraine by banning the import of Russian-origin aluminum, copper, and nickel.
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News Brief
SEC fines five investment advisers in marketing rule sweep
Five registered investment advisers agreed to pay a total of $200,000 in penalties for allegedly violating the Securities and Exchange Commission’s amended marketing rule.
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CFTC enforcement head talks steep path to self-reporting credit
Earning self-reporting credit from the Commodity Futures Trading Commission is no simple task, Director of Enforcement Ian McGinley conceded.
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News Brief
Treasury proposal seeks to expand CFIUS enforcement authority
A proposal by the Treasury Department would allow the Committee on Foreign Investment in the United States to seek more information as part of its review activities and enable “substantially” larger penalties in instances of noncompliance with relevant regulations.
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Premium
SEC official breaks down agency calculus for off-channel comms penalties
Sanjay Wadwha, deputy director of the SEC’s Enforcement Division, discussed the agency’s rationale for issuing widely disparate penalties for off-channel communications recordkeeping violations, as well as violations of its amended marketing rule.
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News Brief
SEC concludes VW emissions case with $48.8M judgment
Volkswagen Group of America Finance was ordered to pay $48.75 million as part of a final judgment obtained by the Securities and Exchange Commission to resolve historical violations related to the automaker’s emissions scandal.