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Compliance
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A UK banking commission is currently debating the proposal, with many in favor of punishing reckless acts with jail time.Be the first to comment
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The appointment follows the departure of Robert Khuzami, who revamped the division in the wake of the financial crisis with a record number of enforcement cases.
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With increased regulation and a more mobile workforce, financial firms are looking for solutions to keep their employees compliant both in and out of the office.
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There's nothing like a scorned ex-wife to bring down a powerful man.
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A lifelong regulator, Schapiro joined the government straight out of law school.
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In the weeks leading up to his arrest, SAC portfolio manager Michael Steinberg apparently told friends he knew he would be indicted but that he expected to beat the charges.
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Federal agents arrested the portfolio manager of the largest hedge fund in the country. After a week of buying mansions and Picassos, is SAC Capital founder Steve Cohen next?
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Average pay-per-head at U.S. and European investment banks has dropped compared to other sectors for the first time in a generation, according to new data.
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Last year financial firms put an almost unprecedented focus on risk, control and compliance. That trend looks set to continue as organizations deal with the fall-out of regulatory change, major fines, and more.
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Regulators have launched an investigation into whether high-frequency traders are distorting stock and futures markets.
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In a blow to two major Wall Street banks, the Federal Reserve told Goldman Sachs and JPMorgan Chase that they must fix flaws in how they determine capital payouts to shareholders.
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Regulatory reform is driving demand for AML programs among investment advisors. Here's what they must have in place.
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A new IDC report shows that as the economy stabilizes, financial firms will spend more on technology in 2013.
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A new Senate report on the bank's $6 billion loss finds that JP Morgan has some serious questions to answer.
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Mark Cuban, the billionaire owner of a U.S. professional basketball team, on Tuesday lost a bid to throw out a U.S. regulator's civil fraud lawsuit accusing him of insider trading.
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The U.S. Supreme Court on Wednesday limited the authority of the federal government's top securities regulator to seek civil penalties over conduct that occurred more than five years before investigators took action.
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Goldman and other banks are making claims based on a law that allows corporations to be reimbursed as a victim of an insider trading crime.
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While industry talk centers around developing integrated governance, risk and compliance strategies, most organizations still don't use GRC platforms multidimensionally
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A U.S. judge has extended a freeze on a Swiss account linked to possible insider trading in H.J. Heinz Co call options just before the ketchup maker agreed to be bought by Warren Buffett's Berkshire Hathaway Inc and Brazilian investment firm 3G Capital.
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It's a deja-vu: the stability of the global markets could soon be under threat due to a looming crisis in the derivatives industry.
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Banks have been getting off too easily. Now, the government is pushing to make them accountable for any wrongdoing.
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Former customers of Jon Corzine's collapsed brokerage MF Global would recover most, and probably all, of their money under the latest projections by the trustee liquidating its bankrupt parent company.
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The guidelines recently issued by the FFIEC on risk management and the use of social media for financial institutions only scratches the surface of this burgeoning issue.
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These criminal organizations are being targeted by the U.S. Department of the Treasury for financial and other crimes.
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Some of the more than $100 million Peregrine Financial's former chief executive stole from his brokerage's clients went to pay for his divorce settlement, the trustee of the now-bankrupt brokerage said in a lawsuit late Friday against the former wife.
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