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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.
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SEC and CFTC whistleblower awards down in 2024
The authorities awarded whistleblowers close to $300m less in 2024 compared to 2023.
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Podcast: Dr Mariola Marzouk on derisking, AML regtech and fear of speaking up
With a career spanning software and consulting firms as well as banks globally, Mariola gives us a frank insight into AML surveillance in practice.
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Challenges – what to do when good systems go bad
A gripping account of the Challenger Shuttle disaster got Carroll Barry-Walsh thinking about how we manage risk and justify mistakes.
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Protecting your employee brand: How you should respond to whistleblowers
A key priority for 2025 is undoubtedly protecting the employee brand proposition and creating a culture of openness.
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UK parliamentary group calls the FCA ‘dishonest and incompetent’
The report is based on evidence and testimonies shared by individuals who have had direct dealings with the UK regulator.
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SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
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The undercover hedge funds financing activist short sellers
When Wall Street’s self-styled financial detectives allege malfeasance, these silent partners stand to reap the benefits.