Cooperation
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CFTC orders BNY Mellon to pay $5m for swap reporting, supervision lapses
The CFTC said the firm failed to properly supervise its swap dealer business with respect to swap data reporting.
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SEC’s Grewal on cyber resilience and his division’s approach
Gurbir Grewal set out the Division of Enforcement’s five guiding principles.
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SEC charges Stanley Black & Decker over executive perks disclosure
SEC settles charges against Stanley Black & Decker for failing to disclose perks it provided certain executives, but imposes no money penalty.
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Company self-reporting on rise, says AAG Polite, and work of CCOs is integral
AAG Polite said the criminal division is also looking into how it selects compliance monitors and when it charges individual executives.
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FINRA Annual 2023: Enforcement trends and new perspectives
A wide-ranging conversation covered the latest trends in enforcement cases brought or being pursued by the SEC and FINRA.