By
Aaron Nicodemus2020-10-20T17:00:00
Democratic presidential nominee Joe Biden is no lock to win the presidency on Nov. 3. But it’s worth examining what compliance-related regulatory policies he’d support if he wins.
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2020-12-10T18:09:00Z By Aaron Nicodemus
Heath Tarbert, chairman and chief executive of the Commodity Futures Trading Commission, will step down from his post early next year while remaining on as one of the agency’s commissioners.
2020-11-16T16:44:00Z By Aaron Nicodemus
Should Republicans hold on to their majority in the Senate, President-elect Joe Biden could still find ways to pass sweeping economic legislation during his first term.
2020-10-27T15:34:00Z By Aaron Nicodemus
Financial institutions complying with the SEC’s new Regulation Best Interest standard have particularly struggled with training staff and how to identify and eliminate potential conflicts of interest, regulators said during an online forum.
2026-04-08T21:01:00Z By Adrianne Appel
A new Department of Justice (DOJ) division will lead investigations of government fraud, and take over duties—and staff, and funds– currently handled by other DOJ divisions and government agencies, Acting Attorney General Todd Blanche announced.
2026-04-08T18:58:00Z By Trevor Treharne
The Hong Kong Monetary Authority’s Bank Culture Reform program is in its eighth year. Phase 2 of its misconduct-sharing scheme covers more than 50,000 banking professionals. The shift signals regulators are evaluating whether culture works, not just prescribing rules.
2026-04-07T20:49:00Z By Adrianne Appel
A rule overhaul proposed by the U.S. Treasury Department’s Financial Crimes Enforcement Network is designed to reduce compliance burden, which would free up banks from tracking all but the most egregious illicit financial activities.
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