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Supreme Court Curtails SEC’s Disgorgement Power

June 5, 2017 by Eugene Grygo

The U.S. Supreme Court has unanimously ruled that the SEC must rein in its disgorgement policy and apply a new, five-year statute of limitations upon its efforts to retrieve restitution for alleged ill-gotten gains. The disgorgement process is the repayment of money allegedly obtained via illegal activity. In cases large and small, the SEC has… Read More >>

Filed Under: AML/Fraud/Financial Crime, Regulation & Compliance Tagged With: Charles Kokesh, disgorgement, Financial Crime, fraud, SEC

Four Arrested in Medicare Info Insider Trading Scheme

June 2, 2017 by Louis Chunovic

The SEC has reported civil charges — and the U.S. Department of Justice (DOJ) has filed criminal charges — in an alleged insider trading scheme involving “tips of nonpublic information about government plans to cut Medicare reimbursement rates, which affected the stock prices of certain publicly traded medical providers or suppliers.” The four alleged participants… Read More >>

Filed Under: AML/Fraud/Financial Crime, Regulation & Compliance Tagged With: Centers for Medicare and Medicaid Services (CMS), Deerfield Management, Financial Crime, fraud, insider trading, SEC, U.S. Department of Justice

Whistleblowers May Survive Trump’s Regulatory Overhaul

May 31, 2017 by Eugene Grygo

Whistleblowers May Survive Trump’s Regulatory Overhaul

While the Trump Team is clearly trying to change the dynamics of key regulators such as the SEC and CFTC, one popular and successful service — support for whistleblowers — may be staying pretty much the same. In fact, it appears the CFTC may be strengthening its support of its whistleblowers program, which is a… Read More >>

Filed Under: Opinion, Minding the Gap Tagged With: CFTC, Dodd Frank Act, SEC, Trump administration, whistleblower

Actiance & Hootsuite Sign Social Media Compliance Pact

May 30, 2017 by Eugene Grygo

Vendors to Target Global Compliance for Social Media   Actiance, a digital compliance, archiving, and analytics vendor, has signed a global partnership with Hootsuite, a social media management platform provider, to offer a comprehensive compliance solution for financial services firms. The partnership will combine Hootsuite’s platform with Actiance’s Socialite offering for compliance across public social… Read More >>

Filed Under: Securities Operations, Buy-Side, Risk Management, FinTech Trends, Back-Office, Regulation & Compliance, Social Media Tagged With: Actiance, Alcova Asset Management, AQMetrics, Broadridge, Colchis Capital Management, Financial Conduct Authority (FCA), FINRA, General Data Protection Regulation (GDPR), Hibernia, Hootsuite, Investment Industry Regulatory Organization of Canada (IIROC), Jabre Capital, MiFID II, SEC, SWIFT

Schroders Hires from UBS Wealth Management

May 30, 2017 by Louis Chunovic

Schroders Creates Head of Global Sales Position Global asset manager Schroders has appointed Daniel Imhof head of global sales, a newly created position. This new post “reflects the increasing complexity of clients’ needs and their requirement for specialist knowledge,” Schroders says in a statement. Imhof, who will be based in London, will report to John… Read More >>

Filed Under: FTF Bull Run Blog Tagged With: Liquidnet, NEX Optimisation, Schroders, SEC, Symbiont

Ex-Nomura Traders Charged with Lying to Customers

May 24, 2017 by Louis Chunovic

The SEC has charged a pair of former head traders at Nomura Securities International with “deliberately lying to customers” to inflate the profits of the commercial mortgage-backed securities (CMBS) desk in New York and allegedly line their own pockets. The SEC alleges that James Im and Kee Chan, who ran the CMBS desk, “each misrepresented… Read More >>

Filed Under: AML/Fraud/Financial Crime, Regulation & Compliance Tagged With: commercial mortgage-backed securities (CMBS), Financial Crime, fines, James Im, Kee Chan, Nomura Securities, SEC

How Harmful is Knee-Jerk Deregulation?

May 23, 2017 by Eugene Grygo

(Editor’s note: David Bailey, group head of marketing and communications, Augentius, spoke to FTF News about the need for transparency among the general partners, limited partners and regulators, particularly as the CHOICE Act bill, a Republican alternative to the Dodd-Frank Act, is proposing cut the SEC registration requirement for private equity investment advisers. The private… Read More >>

Filed Under: Regulation & Compliance, Regulatory Reporting Tagged With: Alternative Investment Fund Managers Directive, Augentius, David Bailey, Dodd-Frank, European Securities and Markets Authority (ESMA), Financial CHOICE Act, Financial Services Authority, private equity, SEC

Torstone Hires from FIS, Broadridge for European Foray

May 22, 2017 by Louis Chunovic

Torstone Reports More Demand in Europe Torstone Technology, a provider of post-trade securities and derivatives processing, reports the appointment of Paul Phillips as head of European sales and Paul Mundy as product manager, both based at the firm’s London headquarters. These appointments are a response to “increased demand among Torstone’s client base who are required… Read More >>

Filed Under: Industry News, People Moves Tagged With: Lucas Moskowitz, NEX Group, Paul Phillips, Rajat Somany, SEC, Torstone Technology

Former SEC Accountant Hit with Fraud Charges

May 17, 2017 by Louis Chunovic

SEC officials report that they have charged David R. Humphrey, a former commission employee, with securities fraud in connection with his trading of options and other securities. At the SEC, Humphrey, a certified public accountant, was employed as a staff accountant. Later, he became branch chief in the SEC division of corporation finance. Humphrey, who… Read More >>

Filed Under: AML/Fraud/Financial Crime, Regulation & Compliance Tagged With: David R. Humphrey, fines, fraud, SEC, securities fraud

CFTC, SEC Greenlight New Hires

May 16, 2017 by Eugene Grygo

With a growth agenda in mind, the Trump White House is moving to fill vacancies at the CFTC and SEC, left open since the end of the Obama administration. At the CFTC, White House officials announced that former fund manager Brian D. Quintenz of Ohio has been nominated a second time to be a CFTC… Read More >>

Filed Under: FTF Bull Run Blog Tagged With: Brian D. Quintenz, CFTC, Jay Clayton, President Donald J. Trump, SEC, Trump administration

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