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Executive Moves

Trading Places: Institutional, Banking Space Sees Flurry of Hires

  • Catch up on the latest moves last week from around the financial services industry.
Sunday, 14/05/2017 | 08:36 GMT by Jeff Patterson
Executive Moves

SEC Taps Veteran Lucas Moskowitz as Chief of Staff

  • Lucas Moskowitz has been promoted to the agency's chief of staff following a lengthy career with the SEC.
Friday, 12/05/2017 | 06:48 GMT by Jeff Patterson
Blogs

Consolidate Audit Trail – Timeliness of Reporting

  • Ahead of Consolidated Audit Trail implementation, the subject of timeliness for reporting remains a topic of conversation.
Thursday, 02/03/2017 | 15:01 GMT by Guest Contributors Institutional
Executive Moves

SEC Sees Two More Directors Part Ways with Agency

  • Marc Wyatt and Wenchi Hu are both leaving the SEC in February.
Tuesday, 31/01/2017 | 17:01 GMT by Jeff Patterson
Executive Moves

SEC’s COO Jeffery Heslop Resigns, Succeeded by CFO Kenneth Johnson

  • Jeffery Heslop will relinquish his role as COO at the SEC after seven years at the agency.
Friday, 27/01/2017 | 16:52 GMT by Jeff Patterson
Regulation

Confluence’s RegTech Solution Selected by Fund Groups Ahead of SEC Legislation

  • New modernization rules from the SEC have created challenges for mutual funds and their back-office systems.
Friday, 27/01/2017 | 15:04 GMT by Jeff Patterson
Exchanges

NYSE Reverses Course, Opting to Implement ‘Speed Bump’ Across its Markets

  • After once opposing similar efforts, the NYSE has embraced the utilization of 'speed bumps' across its NYSE MKT.
Thursday, 26/01/2017 | 15:23 GMT by Jeff Patterson
Regulation

SEC Uncovers Cherry-Picking Scheme and Charges Investment Advisor for Fraud

  • Breton placed trades through a brokerage account allocating profitable trades to himself and unprofitable ones to clients.
Thursday, 26/01/2017 | 07:37 GMT by Finance Magnates Staff
Regulation

SEC’s Whistleblower Office Hands Out $7 Million Award to Three Tipsters

  • Since 2012, SEC enforcement actions from whistleblower tips have resulted in more than $935 million in financial remedies.
Monday, 23/01/2017 | 18:27 GMT by Aziz Abdel-Qader
Regulation

SEC Establishes Oversight Cooperation Agreement with Hong Kong's SFC

  • The arrangement is part of the SEC's strategy to enhance the supervision of regulated entities operating across national borders.
Friday, 20/01/2017 | 07:38 GMT by Finance Magnates Staff
Regulation

SEC Charges BlackRock For Removing Whistleblower Incentives

  • BlackRock coerced departing employees into signing separation agreements waiving their ability to obtain whistleblower awards.
Wednesday, 18/01/2017 | 08:35 GMT by Finance Magnates Staff
Regulation

Morgan Stanley Ordered to Pay $13m Penalty for Overcharging Clients

  • Long-running deficiencies in safeguards resulted in billing errors causing customers to be overcharged.
Friday, 13/01/2017 | 19:33 GMT by Finance Magnates Staff
Regulation

ITG Settles for Over $24m with SEC Over ADR Securities Violations

  • ITG has agreed to settle with the SEC for $24.4 million after its handling of ADR securities.
Thursday, 12/01/2017 | 16:57 GMT by Jeff Patterson
Regulation

SEC Charges Two Brokers for Defrauding Multiple Traders

  • The US regulator recommended the use of an in-and-out trading strategy that was unsuitable for its clients.
Tuesday, 10/01/2017 | 08:38 GMT by Finance Magnates Staff
Executive Moves

Trump Administration Eying Wall Street Lawyer Jay Clayton as SEC Head

  • Jay Clayton has emerged as the frontrunner for SEC Head under the Trump administration.
Wednesday, 04/01/2017 | 16:06 GMT by Jeff Patterson
Regulation

SEC Charges Bosses of Fake Day-Trading Firm with Defrauding Novice Investors

  • The two fraudsters behind the scheme pocketed over $1.4 million from investors across the world.
Thursday, 22/12/2016 | 08:59 GMT by Finance Magnates Staff
Regulation

Morgan Stanley Ordered to Pay $7.5 million for Misusing Customer Cash

  • Morgan Stanley agreed to pay $7.5 million but without publicly acknowledging violations of the federal securities laws.
Tuesday, 20/12/2016 | 17:23 GMT by Aziz Abdel-Qader
Regulation

SEC Charges Platinum Funds and Founder for Engaging in Fraudulent Scheme

  • Mark Nordlicht inflated asset values and illicitly moved investor money to cover losses and liquidity problems.
Tuesday, 20/12/2016 | 09:33 GMT by Finance Magnates Staff
Regulation

SEC Charges Broker-Dealer and Associates with Violating Market Structure Rules

  • This is the first time that the SEC has charged the CEO of a broker-dealer with Market Access Rule violations.
Monday, 19/12/2016 | 07:18 GMT by Finance Magnates Staff
Regulation

SEC Settles $37m Charges with Deutsche Bank Over Order Router Lapse

  • Deutsche Bank has agreed to settle with the SEC and the NY Attorney General’s office for $37m.
Friday, 16/12/2016 | 21:12 GMT by Jeff Patterson
Regulation

SEC Cracks Down on Illegal Stock Racket Worth $26m

  • Joseph Taub and Elazar Shmalo have been charged with abuse and the manipulation of the stock market.
Monday, 12/12/2016 | 19:41 GMT by Jeff Patterson
Regulation

SEC’s Whistleblower Program Pays Out Second Weekly Reward

  • The SEC has had a busy week with several whistleblowers playing key roles in investigations, resulting in payouts.
Friday, 09/12/2016 | 18:36 GMT by Jeff Patterson
Regulation

SEC’s Whistleblower Program Awards Another $3.5m

  • The SEC's Whistleblower Program has awarded $3.5 million following its latest enforcement action.
Monday, 05/12/2016 | 16:48 GMT by Jeff Patterson
Regulation

PIMCO Settles with SEC For $20m After Misleading Investors Over ETF

  • PIMCO was on the hook for $20m to settle charges to the SEC after misleading investors over its ETF performance.
Thursday, 01/12/2016 | 22:09 GMT by Jeff Patterson
Executive Moves

SEC’s Director Stephen Luparello to Part Ways With Regulator

  • Mr. Luparello is leaving the SEC after less than three years as Director of the Division of Trading and Markets.
Monday, 21/11/2016 | 23:02 GMT by Jeff Patterson
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