By CW Staff2023-06-14T17:07:00
Financial services veteran Robert Lebowitz joined Mariva Capital Markets as chief compliance officer.
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2026-03-05T20:35:00Z By Neil Hodge
More complaints about compliance are reported to the U.K.’s financial services watchdog than any other kind of potential misconduct, and even if few of them result in investigation or censure, experts believe such reports help inform future supervision and enforcement.
2026-03-04T21:32:00Z By Ruth Prickett
Geopolitical volatility is causing rapidly changing sanctions regimes, but diverging rules in different jurisdictions create enforcement gaps that are exploited by sanctioned individuals and entities – and the routes used to evade sanctions are constantly developing.
2026-03-03T19:39:00Z By Neil Hodge
The U.K.’s financial regulators have long maintained that AI use by banks, insurers, and other financial services firms is already regulated under existing rules, but such assurances are increasingly being questioned.
2025-03-31T19:50:00Z By Oscar Gonzalez
Two former Democratic members of the Federal Trade Commission–Alvaro Bedoya and Rebecca Kelly Slaughter–filed a lawsuit against President Donald Trump and the remaining commissioners, claiming their recent termination was without cause and that the courts should rule their dismissals as “unlawful and ineffective.”
2025-03-19T19:15:00Z By Oscar Gonzalez
President Donald Trump fired two Democratic commissioners serving on the Federal Trade Commission, the regulatory agency overseeing antitrust and consumer protection laws and which has been traditionally independent and staffed by members of both political parties.
2025-01-28T15:06:00Z By CW Staff
Scintilla, a cryptocurrency solutions provider based in the United Arab Emirates, announced the appointment of Janey Schueller as its new chief compliance officer.
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