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BNP Paribas

CFTC fines BNP Paribas, JPMorgan for swap reporting violations


BNP Paribas and JPMorgan Chase agreed to pay penalties of $6 million and $850,000, respectively, in separate settlements with the Commodity Futures Trading Commission for swap reporting violations dating back years.

Business argument

Materiality, Scope 3 emissions elicit debate in SEC climate rule comments


Comment letters in response to the SEC’s climate-related disclosure rule have laid out opponents’ issues with the proposal, while supporters have used the process to buttress the agency’s case for implementing it.

SEC building

SEC’s Peirce weighs CCO enforcement case against liability framework


What would it look like if the SEC adopted a chief compliance officer liability framework? Commissioner Hester Peirce offered a preview in a statement regarding an enforcement action against the CCO of a formerly registered investment adviser.

AI regulation

Survey: Spending on AI, new tech to increase despite known risks


Companies are set to ramp up spending on artificial intelligence and other technologies in the coming years despite expectations of rising legal disputes over its use and implementation, according to a new survey.

Mass storage

Financial volatility, supply chain disruptions among PCAOB 2022 inspection focuses


The Public Company Accounting Oversight Board will pay increased attention to how auditors are addressing changing risk landscapes because of the current economic environment during its 2022 inspections.

Credit Suisse

Credit Suisse money laundering verdict start of new era of Swiss enforcement?


Credit Suisse became the first major Swiss bank to be prosecuted for money laundering in the country after the Federal Criminal Court of Switzerland found the bank guilty of washing money connected to a Bulgarian drug smuggling syndicate.


FINRA fines Barclays $2.8M over supervision, disclosure lapses


Barclays Capital agreed to pay $2.8 million as part of a settlement with the Financial Industry Regulatory Authority for “failure to comply with customer confirmation and related supervision rules” that led to disclosure lapses.


UBS to pay $25M over ‘inadequate’ training, oversight in SEC fraud case


UBS Financial Services agreed to pay approximately $25 million to settle fraud charges brought by the SEC that cited “inadequate” training and supervisory oversight of the firm’s financial advisers regarding a complex options trading strategy.