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Tag: Compliance

News
Regulation, enforcement & litigation
Credit Suisse is taking advantage of the situation in Ukraine to eliminate evidence related to the Russian oligarchs' tax evasion (money laundering?)....
News
Regulation, enforcement & litigation
A major leak has just revealed the details of 18,000 private accounts and $100 billion held at Credit Suisse. The owners include the Who's Who of...
News
Regulation, enforcement & litigation
$11 Trillions worth of hedge funds, half the industry, is barely disclosing any information to the general public. The SEC, which already has valuable information on...
News
Regulation, enforcement & litigation
NatWest has admitted to market manipulation to the SEC. The guilty admission will cost much more than the $35m fine. It may become the SEC's new policy....
News
Regulation, enforcement & litigation
You always see the glitz around hedge fund portfolio managers - the parties, the mansions, the cars and the boats. It's not always like that. This...
Derivatives
Investments & markets
UBS got flack for recommending VIX ETFs to its clients. This suitability case has in fact deep roots in a significant ETF classification challenge: many product...
News
Regulation, enforcement & litigation
Guggenheim had restrictive language against whistleblowing in its compliance manual. The SEC reviewed the manual and fined the firm $209,000 - before any whistleblower was silenced. The...
News
Regulation, enforcement & litigation
Guy Gentile is a principal with a checkered past: pump-and-dump, lack of registration, soliciting US customers from the Bahamas... He's not hiding that he went rogue....
Crypto
News
The SEC and the NY AG are suing CoinSeed for lack of registrations and multiple other counts. That's a cold shower for the crypto industry. Spoiler...
Investments & markets
News
Index providers provide research with some discretion on trillions of assets. They move markets. Their errors are costly.Should those 'data providers' become 'investment advisors'? The...