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FINRA fines Robinhood $26m for over a dozen rules violations
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.
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HSS dings research university for failure to provide timely access to patient records
HHS said the penalty marks OCR’s fifty-third HIPAA Right of Access enforcement action regarding patient access to medical records.
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Bank Biz: ‘Problem bank’ tracking gone, NGFS membership over, and a notable case settlement
Roundup of developments on the banking agencies space.
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Industry digests big fines for four banks over exchanges of sensitive information on gilts
Citi, HSBC, Morgan Stanley and Royal Bank of Canada agree to settle cases and will pay over £100m ($126.2m).
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Compliance & Conversation: The culture club
Leading figures from financial services discussed some of the pressing issues of the day including: conduct and culture, AI, recordkeeping and surveillance.
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Podcast: Dan Nikci on compliance and innovation in alternative investments
Dan Nikci, Founder and Managing Partner of Applied Fund Solutions, discusses his work with the alternative investment community.
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Danske Bank fined NKr 50m for market manipulation
According to the Norwegian regulator a reference swap rate was intentionally driven higher at the time of pricing in order to produce higher trading profits.
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SEC whips out final orders for violations grounded in supervisory, oversight lapses
Final settlement orders announced last week include those against firms for infractions often based in compliance program lapses.