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DOJ fines healthcare services contractor $11m over false cybersecurity claims
Sensitive information about healthcare for US service members said to have been compromised.
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Wealth management firm fined by FINTRAC for AML failures
Lack of written policies and oversight was at the center of the enforcement action against independent firm “considered a securities dealer” by regulator.
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Fraudulent binary options scheme participants ordered to pay CFTC $451m
The investment fraud, which operated out of a scam call center in Israel, stole millions from unaware customers.
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Trump nominates CFTC, OCC, and CFPB heads
Nominated agency heads promise deregulation and rulemaking clarity.
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SEC announces exemption for CAT personal information requirement
The decision provoked a dissent from SEC commissioner Caroline Crenshaw.
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Better Markets report hails “resounding success” of SEC whistleblower program
Report strongly advocates for whistleblower program and urges greater transparency.
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SEC grants year-long reprieve from short sale reporting requirements
The pause to Rule 13f-2 comes in response to a request for further guidance from investors.
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SEC Commissioner Peirce outlines a new crypto regulatory regime
In a statement, Commissioner Hester Peirce criticized the patchwork status quo of SEC crypto regulation and charts a path forward.