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23 January 2020: On 6 January 2020, the UK Financial Conduct Authority issued a letter to CEOs of wholesale general insurance firms setting out its expectations with regard to the tackling of non-financial misconduct.
21 January 2020: The US’s Commodity and Futures Trading Commission has ordered a South Korean company to pay $700,000 in an order simultaneously filing and settling charges of spoofing.
17 January 2020: The US Commodity Futures Trading Commission’s Division of Enforcement has published its Annual Report for 2019, which shines a light on the division’s success in prosecuting misconduct in the market.
16 January 2020: A loophole that allows corporate executives to trade on information before it’s disclosed to the public and company shareholders is to be closed by a new 8-K Trading Gap Act.
14 January 2020: JP Morgan Chase & Co has placed one of its most senior credit traders on leave following concerns over his use of WhatsApp.
13 January 2020: Federal prosecutors in California and North Carolina have announced that a number of former Wells Fargo executives are under criminal investigation following the scandal concerning fake accounts.
10 January 2020: The revised fifth Anti-Money Laundering Directive came into effect on 10th January.
9 January 2020: Former Goldman Sachs banker, Bryan Cohen, has pleaded guilty to insider trading as part of a wider plot that allegedly generated tens of millions of dollars in illicit profits.
8 January 2020: The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations has published its examination priorities for 2020.
3 January 2020: KPMG published the fifth edition of its annual Financial Services Ten Key Regulatory Challenges. The report lists issue that will likely affect business imperatives ranging from technology transformation to…
2 January 2020: The US Financial Industry Regulatory Authority took action against Citigroup Global Markets, JP Morgan Securities, LPL Financial, Morgan Stanley and Merrill Lynch for failing to reasonably supervise compliance with…
30 December 2019: FINRA, Cboe Global Markets, the Nasdaq Stock Market LLC, the New York Stock Exchange, and their affiliated exchanges in the US announced that they censured Credit Suisse Securities (USA)…
27 December 2019: The Swiss Financial Market Supervisory Authority, FINMA, has put an independent auditor in place at Credit Suisse to investigate observation activities at the bank that have come to light…
19 December 2019: The US Securities and Exchange Commission has charged an IT administrator and four friends with insider trading after they were found to have consistently traded on confidential earnings information…
18 December 2019: The CEO of JP Morgan Chase, Jamie Dimon, has said he is “disgusted by racism and hate in any form”, after a New York Times article exposed racism within the firm – towards both employees and customers.
17 December 2019: The French market regulator, AMF, has fined Morgan Stanley $22 million for manipulating sovereign bonds in 2015.