Latest News for Risk and Regulation
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The Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Joseph Kim (Kim), of Phoenix, Arizona, requiring Kim to pay more than $1.1 million for a fraudulent Bitcoin and Litecoin scheme.
World Economic Forum to support initiative for open, secure, stable, accessible and peaceful cyberspace
Although it is still early days, it is already evident that the application of artificial intelligence (AI) in financial services is potentially quite important and merits our attention.
The Bank for International Settlements (BIS) today announced that Siddharth Tiwari has joined the BIS as Chief Representative for Asia and the Pacific.
Effective January 2019 the Investment Industry Regulatory Organization of Canada (IIROC) will begin publishing transaction-based one- and three-month Bankers’ Acceptance (BA) rates.
Opening Statement by Felix Hufeld, President of the Federal Financial Supervisory Authority (BaFin), at the Opening Conference of the 21st Euro Finance Week on 12 November 2018 in Frankfurt am Main.
A speech by John Price, Commissioner, Australian Securities and Investments Commission at the Monash Centre For Commercial Law and Regulatory Studies Symposium, (Melbourne, Australia) 12 November 2018
The Securities and Exchange Commission today charged a stock research firm and its co-founders with defrauding investors by issuing reports purportedly based on “unbiased” and “not paid for” research when in reality they received thousands of dollars from issuers as a condition to providing each report.
In connection with our ongoing efforts to help address investor confusion about the nature of their relationships with investment advisers and broker-dealers, the SEC’s Office of the Investor Advocate today made available a report on investor testing conducted by the RAND Corporation.
The Federal Court of Australia today ordered Westpac Banking Corporation (Westpac) pay a pecuniary penalty of $3.3 million for contravening s12CC of the Australian Securities and Investments Commission Act 2001 (Cth) (ASIC Act) through its involvement in setting BBSW in 2010.
The Securities and Exchange Commission today announced that Citibank N.A. has agreed to pay $38.7 million to settle charges of improper handling of “pre-released” American Depositary Receipts (ADRs).
ASIC has cancelled the Australian financial services (AFS) licence of the retail OTC derivative issuer, AGM Markets.
The Securities and Exchange Commission today announced that ITG Inc. and its affiliate AlterNet Securities Inc. have agreed to pay $12 million to settle charges arising from ITG’s misstatements and omissions about the operation of the firm’s dark pool, POSIT, and ITG’s failure to establish adequate safeguards and procedures to protect POSIT subscribers’ confidential trading information.
The Securities and Exchange Commission today announced settled charges against Zachary Coburn, the founder of EtherDelta, a digital “token” trading platform.
The Federal Reserve Board on November 28 intends to begin publishing a semiannual report presenting the Board’s view of the outlook for U.S. financial stability.
A majority of Canadian investors surveyed for the Investment Industry Regulatory Organization of Canada (IIROC) support the regulator’s proposals to provide alternative approaches to enforcement that would encourage early settlement of disciplinary cases and divert minor rule violations away from lengthy hearings.
Risk Management Function Must Evolve to Become Trusted Advisors as Banks Reinvent Themselves
The gold price, which has been rising again since the end of September, has also significantly increased the demand for Xetra-Gold (ISIN: DE000A0S9GB0)
London Stock Exchange Group (LSEG) launches its series of reports on African capital markets, which were developed as part of its London Africa Advisory Group (LAAG).
CME Group (Nasdaq: CME), the world’s leading and most diverse derivatives marketplace, today announced it will host the 11th annual Global Financial Leadership Conference(GFLC) Nov. 12-14, at the Ritz-Carlton Beach Resort in Naples, Fla.