By Jaclyn Jaeger2018-07-17T12:15:00
New York-based broker-dealer BGC Financial has agreed to pay a $1.25 million penalty to settle charges that it failed to preserve audio files sought by the SEC and inaccurately recorded travel, entertainment, and other expenses.
2019-11-25T21:41:00Z By Lori Tripoli
BGC Financial was accused of various supervision, reporting, and recordkeeping violations that went on for more than five years in a $3 million enforcement action from the CFTC.
2025-10-29T20:12:00Z By Tom Fox
As CFOs use AI to streamline operations, they face new compliance risks tied to accountability and algorithmic governance. CCOs must work with them to ensure transparency and oversight throughout adoption.
2025-10-28T21:11:00Z By Adrianne Appel
Senate Democrats warned OMB Director Russell Vought Tuesday that it would be illegal for the Trump administration to shut down the Consumer Financial Protection Bureau, citing a recent court decision barring actions that could severely harm the agency.
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