All State Street articles
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News Brief
SEC penalizes Macquarie Asset Management $80M for overvaluing assets, fraud
Historically, the SEC has fiercely protected the rights of retail investors, and is constantly churning out enforcement actions against investment advisers it alleges have defrauded and manipulated its customers. So, it was somewhat unusual the agency issued an enforcement action this week that involved protecting the rights of institutional investors.
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Blog
State Street adds general counsel from Barclays
Financial services provider State Street Corp. announced it appointed Mark Shelton to executive vice president and general counsel.
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News Brief
Banking regs set 2023 stress test scenarios
Banking regulators unveiled new stress test requirements for the largest financial institutions, including a series of hypothetical global market shocks six banks will be required to face.
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Article
State Street recruits global CCO from Google
State Street Corp. hired Yvette Hollingsworth Clark to be its global chief compliance officer and executive vice president. Hollingsworth Clark joins from Google, where she served as head of compliance for the consumer trust business.
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Article
State Street names chief risk officer
Global financial services company State Street Corp. has named Brad Hu chief risk officer, effective Jan. 1, 2022.
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Article
State Street to pay $115M for mutual fund overcharges
State Street will pay a $115 million criminal penalty and enter into a deferred prosecution agreement with the Department of Justice for mutual fund and expenses overcharges.
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Article
State Street to pay $88.8M for mutual fund overcharges
State Street will pay $88.8 million to resolve charges with the SEC that it overcharged mutual funds and other registered investment company clients for expenses related to the firm’s custody of client assets.
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Article
Treasury issues Finding of Violation to State Street subsidiary
The U.S. Treasury Department has found that State Street Bank and Trust violated Iranian Transactions and Sanctions Regulations.
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Blog
State Street appoints chief accounting officer
State Street Corporation has appointed Ian Appleyard as executive vice president, global controller, and chief accounting officer, effective May 9, 2018.
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Blog
State Street to pay $35M for disclosure failures
State Street today agreed to pay more than $35 million to settle charges that it fraudulently charged secret markups for transition management services and separately omitted material information about the operation of its platform for trading U.S. Treasury securities.