All Finance articles – Page 20
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News BriefArgus to pay $37M in DOJ case over misused regulator data
Economic data and research firm Argus Information and Advisory Services agreed to pay $37 million to settle charges from the Department of Justice alleging misuse of data obtained through federal regulatory contracts.
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News BriefFCA fines financial adviser $1.1M over British Steel advice, oversight lapses
The U.K. Financial Conduct Authority fined Inspirational Financial Management nearly £900,000 (U.S. $1.1 million) regarding alleged failures in advice and oversight provided to customers who were primarily members of the British Steel Pension Scheme.
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Realworld Asset Group names general counsel
Real estate investment company Realworld Asset Group appointed Derrick Grüner as chief capital markets officer and general counsel.
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Equitable Holdings announces chief risk officer
Financial services holding company Equitable Holdings announced Julia Zhang as chief risk officer.
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SEC expands scope of order execution disclosure rule
Lost in the shuffle of the approval of its controversial climate-related disclosure rule, the Securities and Exchange Commission also adopted amendments to its rule for order executions in national market system stocks.
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News BriefAmeriprise expecting $50M SEC fine over off-channel comms
Ameriprise Financial disclosed it recorded a $50 million accrual related to the resolution of a Securities and Exchange Commission probe into use of off-channel communications by its employees for conducting business.
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News BriefFCA warns CEOs over firm AML failings
The U.K. Financial Conduct Authority warned the chief executive officers of approximately 1,000 financial institutions it supervises regarding common failures in anti-money laundering procedures it observed during recent assessments.
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News BriefHG Vora fined $950K for beneficial ownership disclosure failures
New York-based investment adviser HG Vora Capital Management agreed to pay $950,000 to settle charges levied by the Securities and Exchange Commission alleging failure to report beneficial ownership regarding its stake at trucking transport company Ryder System.
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News BriefGreen Dot estimates up to $50M in liabilities over proposed Fed order
Financial technology firm Green Dot Corp. estimated a pending consent order with the Federal Reserve Board will require a payment of between $20 million to $50 million.
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Angel One names group general counsel
India-based retail full-service broking house Angel One welcomed Meenal Maheshwari Shah as group general counsel.
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SAFCO welcomes compliance VP, general counsel
Southern Auto Finance Company announced the appointment of Marissa Kaliman as vice president of compliance and general counsel.
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Van Lanschot Kempen names chief risk officer
Specialist wealth manager Van Lanschot Kempen named Damla Hendriks to the position of chief risk officer as a member of the management board.
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Revelstoke Capital Partners names CCO as partner
Private equity firm Revelstoke Capital Partners announced Blake Bennett will serve as partner, chief financial officer and chief compliance officer.
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Nubank adds chief legal officer
Brazil-based financial services platform Nubank announced the arrival of Elita Ariaz as its new chief legal officer.
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PremiumFCA calls attention to continued trade manipulation tactics
Financial firms continue to flout rules designed to protect investors from being misled about the true value of financial products, according to a recent bulletin from the U.K.’s Financial Conduct Authority.
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PremiumFinCEN head touts compliance through enforcement approach
Andrea Gacki, head of the Financial Crimes Enforcement Network, said recent enforcement actions by the agency have addressed significant gaps in the U.S. anti-money laundering/countering the financing of terrorism regime and exposed specific risk factors, trends, and typologies.
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News BriefNew European AML agency to be based in Germany
The European Union’s recently approved Anti-Money Laundering Authority will be based in Frankfurt, Germany, and begin operations in 2025.
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News BriefCFPB exercises power to supervise installment lender World Acceptance
Installment lender World Acceptance Corp. was the subject of the Consumer Financial Protection Bureau’s first use of a dormant legal provision allowing it to establish supervisory authority over more nonbank financial companies.
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Nuveen Churchill Direct Lending appoints new compliance chief
Specialty finance company Nuveen Churchill Direct Lending announced the appointment of Charmagne Kukulka as chief compliance officer.
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Resourcee-Book: Solving the off-channel communications conundrum
Firms attempting to meet regulatory requirements for monitoring employee use of off-channel communications for business purposes face a bedeviling number of obstacles.