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CFTC

SEC nears settlement with financial services firms over WhatsApp

Around 16 broker-dealers noted SEC probes into their communications

The latest settlement is likely to see firms finalising deals that would include an admission of wrongdoing and commitment to fixing the issues

2 min read

Goldman Sachs to pay $5.5m to settle charges over pandemic-era audio records

By Penny Sukhraj

2023-08-30T07:11:07Z

3 min read

Investment Banking compliance Regulation Goldman Sachs CFTC

Problems with its vendor system led to Goldman's failure to retain records of thousands of calls

Goldman Sachs settles swaps business probe after paying $15m

2023-04-11T05:59:58Z

2 min read

Investment Banking Regulation Goldman Sachs CFTC

SEC’s Gensler backs commodities regulator oversight of crypto: ‘Let’s ensure that we don’t inadvertently undermine securities laws’

2022-09-08T16:10:41Z

2 min read

Securities and Exchange Commission Regulation Cryptocurrency CFTC

SEC’s Gary Gensler warns lawmakers not to undermine wider markets with crypto rules

2022-06-15T06:14:46Z

2 min read

SEC Crypto Fintech CFTC

‘We don’t want to undermine the protections we have in a $100tn capital market’

CFTC’s Rostin Behnam: Regulators need to act collectively on digital assets

2022-04-27T14:50:53Z

3 min read

Crypto exchanges Regulation CFTC

Watchdog's chair says issue is ‘high priority’

New

Twenty Most Influential in Wealth Management 2024

Paul Clarke

Citigroup’s co-head of Iberia Revuelta to depart the US bank

UniCredit hikes Commerzbank stake to 28% as CEO Orcel ups ambitions

Alantra strips out 20 managing directors in investment bank business shift

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CFTC

SEC nears settlement with financial services firms over WhatsApp

Goldman Sachs to pay $5.5m to settle charges over pandemic-era audio records

Goldman Sachs settles swaps business probe after paying $15m

SEC’s Gensler backs commodities regulator oversight of crypto: ‘Let’s ensure that we don’t inadvertently undermine securities laws’

SEC’s Gary Gensler warns lawmakers not to undermine wider markets with crypto rules

CFTC’s Rostin Behnam: Regulators need to act collectively on digital assets

Paul Clarke

Citigroup’s co-head of Iberia Revuelta to depart the US bank

UniCredit hikes Commerzbank stake to 28% as CEO Orcel ups ambitions

Alantra strips out 20 managing directors in investment bank business shift

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Barclays plans bonus hikes of up to 20% for capital markets bankers

Hedge fund Caxton posts nearly 80% profit drop

Fund CEOs predict private markets M&A boom will spill over into 2025

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Alantra strips out 20 managing directors in investment bank business shift

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Abrdn names tech chief for investments unit in latest appointment under Jason Windsor

Simpson Thacher hires Sidley Austin finance duo in London

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FN Law

Simpson Thacher hires Sidley Austin finance duo in London

Paul Weiss, Kirkland and A&O Shearman: FN’s top legal stories of 2024

Clifford Chance appoints Odimba-Chapman as London head