The blockchain technology that powers cryptocurrency originated in an obscure white paper, anonymously published under the name Satoshi Nakamoto in 2008. In the 13 years following its publication, the cryptocurrency industry...more
7/16/2021
/ Blockchain ,
CFTC ,
Corporate Culture ,
Corporate Governance ,
Corporate Social Responsibility ,
Cryptocurrency ,
Environmental Social & Governance (ESG) ,
EU ,
Green Initiatives ,
Human Rights ,
Popular ,
Securities and Exchange Commission (SEC) ,
Sustainability
Two Related Broker-Dealers To Pay US $17 Million for Widespread AML Compliance Failures; Former AML Compliance Officer Also Sanctioned:
Raymond James & Associates, Inc. (RJA), Raymond James Financial Services, Inc....more
Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach:
Cunningham Commodities, LLC, a futures commission merchant registered with the Commodity Futures...more
5/17/2016
/ Commodity Exchange Act (CEA) ,
Corporate Culture ,
Cybersecurity ,
DIFC ,
Enforcement Actions ,
Futures Commission Merchants (FCMs) ,
IOSCO ,
ISDA ,
Material Nonpublic Information ,
RTO ,
Segregated Funds ,
Spoofing
FINRA Seeks to Identify How Some Members Implement Cultural Values: The Financial Industry Regulatory Authority advised some broker-dealers through a targeted exam letter that it will soon meet with them to learn how they...more
Senior Fed Officials Encourage Financial Industry Firms to Improve Compliance Culture -
Enhancing culture was the theme at a workshop on “Reforming Culture and Behavior in the Financial Services Industry” held at the...more
10/28/2014
/ ABS ,
Accountants ,
Asset-Backed Securities ,
Banks ,
Broker-Dealer ,
CFTC ,
Chief Compliance Officers ,
Consumer Financial Protection Bureau (CFPB) ,
Corporate Culture ,
Credit Suisse ,
Cybersecurity ,
Deferred Compensation ,
Dodd-Frank ,
Enforcement Actions ,
Ethics ,
European Commission ,
Federal Reserve ,
Financial Statements ,
Futures ,
Margin Requirements ,
Merrill Lynch ,
Securities and Exchange Commission (SEC) ,
SIFMA