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8 November 2019: A former Citigroup trader, Christopher Cummins, has conceded that he was driven by greed to plot with rivals at other firms to rig currency trades.
7 November 2019: Chris Woolard, Executive Director of Competition and Strategy at the UK Financial Conduct Authority, gave a futuristic speech at the Future of Regulation conference in London on 21 October.
6 November 2019: The Prudential Regulation Authority has issued a letter to the Chief Executives of general insurance firms, setting out feedback from its supervision activities, as well as its priorities for the year ahead.
5 November 2019: A former US Securities and Exchange Commission (SEC) compliance examiner, Michael Cohn, is to face charges of obstruction after he allegedly stole information about a private equity firm that he was hoping to join.
4 November 2019: The UK Financial Conduct Authority’s chief executive, Andrew Bailey, has announced a renewed commitment to spending in data analytics in an attempt to deliver “stronger and faster innovation”.
1 November 2019: The Commonwealth Bank of Australia is facing the first criminal action in Australia that is a direct result of the extensive government-driven inquiry into widespread misconduct in the core financial services space there.
31 October 2019: Capital Group fund manager, Mark Denning, has resigned after a BBC Panorama investigation found that he had broken investment rules and engaged in a conflict of interest.
30 October 2019: The FCA has issued inter-dealer broker, Tullett Prebon with a fine of £15.4m after it failed to implement effective controls and provided “lavish entertainment” in return for unusually large brokerage fees.
28 October 2019: Legislation to toughen money-laundering rules made it through the US House of Representatives last week.
29 October 2019: Two London-based investment bankers have been charged in the US for taking part in a “large-scale, international insider-trading ring”, which continues to unfold.
25 October 2019: The Securities and Exchange Board of India (SEBI) has requested that brokers submit information on cyber-threats and cyber-attacks in quarterly reports, which are due 15 days after the end of each quarter.
24 October 2019: A review by the European Securities and Markets Authority has found that the way the UK’s Financial Conduct Authority monitors trades to spot potential risks could be improved.
23 October 2019: The SEC has obtained final judgments against a firm and its CEO, after they were found to have facilitated manipulative trading by a Ukraine-based client.
22 October 2019: The International Financial Stability Board (FSB) is reportedly examining ‘cloud’ services provided to banks, including industry leaders such as Amazon and Microsoft.
21 October 2019: The spot currency markets might be included in a new revised version of the Market Abuse Regulation as ESMA consults on the efficacy of such an approach
18 October 2019: The US Securities and Exchange Commission (SEC) has taken emergency action to prevent a $31m stock manipulation scheme, after it found that 18 traders had manipulated the prices of thousands of trades.