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Institutional FX
Wall Street Faces SEC Heat over WhatsApp Use
2023-09-25T19:55:06.259+02:00
The regulator has expanded its probe into Wall Street's use of private messaging apps.
The Institution collected thousands of staff messages from major investment firms.
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FinTech
US DOJ Is Probing Visa over 'Token' Technology Pricing Practices: Report
2023-08-16T22:23:17.806+02:00
Visa reportedly planned to adjust its fees, thereby sparking a new investigation by the DOJ.
UK payments watchdog sought to review Visa and Mastercard's card fees last year.
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Institutional FX
Swiss Lawmakers’ Probe of Credit Suisse Crash to Kick Off This Week: Report
2023-07-11T17:07:02.715+02:00
The lawmakers formally agreed to create an investigative commission in early June.
Credit Suisse was a troubled banking institution before its collapse in March.
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FinTech
US Senators: Credit Suisse Restricted Internal Probe into Nazi-Linked Accounts
2023-04-19T18:18:45.202+02:00
Credit Suisse allegedly operated 99 undisclosed Nazi-linked accounts.
The 166-year-old Swiss lender said no evidence was found, according to Reuters.
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Institutional FX
Deutsche Bank's 'Project Teal' Probe on FX Mis-Selling to End after 3 Years
2023-02-20T14:47:38.930+02:00
ECB and BaFin are "not satisfied" with Deutsche Banks' internal probe.
The investigation may lead to another round of financial penalties.
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CryptoCurrency
Bulgaria Launches Probe of Crypto Lender Nexo, Raids Offices
2023-01-12T15:08:15.406+02:00
The probe relates to the alleged AML failure and violation of sanctions against Russia.
Nexo accused regulators of adopting a "kick first, ask questions later" method.
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CryptoCurrency
Sam Bankman-Fried ‘Willing’ to Testify before US House Panel on Dec. 13
2022-12-09T19:08:25.542+02:00
Maxine Walters first tweeted the invitation last Friday.
Bankman-Fried earlier this week hired Mark Cohen as his attorney.
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CryptoCurrency
Sam Bankman-Fried Finds Attorney, FTX Probes Build Up
2022-12-07T13:58:19.204+02:00
The former CEO of Alameda Research has found a lawyer.
FTX is being investigated by the US and the Bahamas authorities.
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News
US Justice Department Begins Criminal Investigation of Bitcoin Manipulation
2018-05-24T13:57:59.000+02:00
The authority is reportedly working with the Commodity Futures Trading Commission.
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Simon Golstein
Regulation
US Prosecutors Weigh Charges of Front-Running FX Order Against Wells Fargo
2017-10-27T19:49:49.000+02:00
Wells Fargo is planning on refunding hundreds of thousands of dollars to QSR.
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Aziz Abdel-Qader
Regulation
Wells Fargo Sacks Four Forex Bankers, Opens Internal Probe on Practices
2017-10-20T21:14:19.000+02:00
Wells Fargo spokesperson Jessica Ong told Finance Magnates that she declines to comment on the bank’s investigation.
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Aziz Abdel-Qader
Regulation
Deutsche Börse Reaches €10.5m Settlement, Ending CEO Probe
2017-09-14T10:36:37.000+02:00
The group has reached a €10.5m settlement with prosecutors over insider trading charges against Carsten Kengeter.
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Regulation
Deutsche Börse Probe Expanding to Include Management
2017-08-17T12:25:40.000+02:00
CEO Carsten Kengeter is no longer the only member of the group's senior management under investigation.
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Regulation
UK’s FX ‘Cartel’ to Stand Trial in US – Bail Set at Upwards of $1M
2017-07-17T11:41:51.000+02:00
Richard Usher (JPMorgan) Rohan Ramchandani (Citigroup), and Chris Ashton (Barclays) will stand trial today.
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Prime Brokerage
Credit Suisse Facing Tax Probe Across Five Countries
2017-04-03T14:46:54.000+02:00
A lingering tax probe into Credit Suisse's operations could weigh upon its recovery plan in 2017.
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Prime Brokerage
Analysis: Is Deutsche Bank’s Restructuring Plan Working?
2017-03-27T15:53:05.000+02:00
Deutsche Bank's CEO John Cryan's bold transformational strategy has begun to take shape - is it working?
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Regulation
US Department of Justice Closes Probe into Deutsche Bank's FX Activities
2017-03-20T18:48:07.000+02:00
A US DoJ investigation has been closed, yielding no fine for Deutsche Bank after a probe into its FX activities.
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Regulation
Citigroup Drawn into CFTC Probe, Investigating Global Rate-Swap Businesses
2016-10-31T17:58:54.000+02:00
The probe investigates the industry’s leading swap dealers following a 2015 lawsuit.
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Technology
EU Commission Launches Probe into Deutsche Börse, LSEG Merger
2016-09-28T17:21:33.000+02:00
The European Commission has launched a probe into the merger, reflecting antitrust and competition concerns.
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Regulation
Some US Companies Employing Whistleblower Gag Orders in Bid to Prevent Leaks
2016-08-25T16:41:56.000+02:00
Several companies appear to have been making deals to muzzle employees that run counter to US law.
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