News

Ex-Voya CCO heads to PNC Capital

Michael Gioffre will head up compliance at the $50.3bn shop

Peter Rawlings 20 July, 2018

Two Deutsche Bank subsidiaries pay $75m over mishandling of ADRs

Deutsche Bank Trust Company Americas prereleased ADRs without ensuring ownership of the corresponding shares

Peter Rawlings 20 July, 2018

Compliance advised to partner with other departments to manage third parties

Oversight needs to extend to so-called ‘nth’parties

Jason Bisnoff 20 July, 2018

SEC data tools driving compliance investment

The exam team’s NEAT tool is ramping up pressure

Jason Bisnoff 19 July, 2018

BGC fined $1.25m after deleting audio files

A change in retention policies led to the error, the SEC said

Peter Rawlings 19 July, 2018

ICI, IDC offer suggestions on new loan rule prop

Measures could rule out relationships irrelevant to audit independence from get-go

Stan Wilson 18 July, 2018

Fidelity resists revenue sharing disclosures  

The SEC’s proposal to allow brokers to distribute fund research could come with conflict disclosure requirements

Peter Rawlings 18 July, 2018

CFTC proposes higher permanent swap dealer exemption threshold

The threshold, which had been set to drop to $3bn, will stay at $8bn

Jason Bisnoff 18 July, 2018

CFTC gives first award to foreign whistleblower

It’s the second whistleblower award since May amendments

Jason Bisnoff 17 July, 2018

Fraudsters seen impersonating regulators to access firm info

Multiple B-Ds have been targeted by people posing as Finra staffers 

Peter Rawlings 17 July, 2018

New DIM deputy solicits adviser conduct feedback

Paul Cellupica encouraged compliance to weigh in on recent SEC proposals

Jason Bisnoff 17 July, 2018

Former US Attorney joins Morgan Lewis

Kenneth Polite will join the firm’s Philadelphia office

Jason Bisnoff 16 July, 2018




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