Gary Gensler, who became a Goldman partner at the tender age of 30, left to become assistant secretary of the Treasury for financial markets in 1997 and later helped draft the Sarbanes Oxley Act 2002. He is now chairing the US Securities and Exchange Commission.
The Australian Securities and Insurance Commission has published some figures that outline its efforts to enforce its rules during the second half of 2020. These have increased substantially as a result of the Financial Services Royal Commission.
The US Treasury's Financial Crimes Enforcement Network has issued an Advance Notice of Proposed Rulemaking to solicit public comment on a wide range of questions related to the implementation of the beneficial ownership information reporting provisions of the Corporate Transparency Act.
HM Treasury plans to set up a compensation scheme for bondholders who suffered losses after investing in London Capital & Finance. Megan Butler of the Financial Conduct Authority has apologised for her organisation's handling of the matter.
Gary Gensler, who became a Goldman partner at the tender age of 30, left to become assistant secretary of the Treasury for financial markets in 1997 and later helped draft the Sarbanes Oxley Act 2002. He is now ...
The Australian Securities and Insurance Commission has published some figures that outline its efforts to enforce its rules during the second half of 2020. These have increased substantially as a result of the F...
The Central Bank of Iceland's annual report reveals some interesting facts about the regulator, FSA Iceland, that it absorbed more than a year ago. ...
On the occasion of the publication of its annual report, France's Autorité des Marchés Financiers has announced its intention to do more to encourage shareholding among private individuals, promote better coll...
This article contains a brief overview of the regulatory efforts of Finanstilsynet, Norway's financial regulator, in 2020. The Coronavirus pandemic has done major damage to the financial markets and the regulato...
The US Treasury's Financial Crimes Enforcement Network has issued an Advance Notice of Proposed Rulemaking to solicit public comment on a wide range of questions related to the implementation of the beneficial o...
HM Treasury plans to set up a compensation scheme for bondholders who suffered losses after investing in London Capital & Finance. Megan Butler of the Financial Conduct Authority has apologised for her organisat...
Score Priority Corp, formerly known as Just2Trade, has settled charges levelled at it by the US Financial Regulatory Authority for failing to run an anti-money-laundering regime tailored to the broker-dealer's r...
The Financial Supervisory Authority (FIN-FSA) of Finland has stated that there remains room for improvement in procedures at firms related to the management of the liquidity of Undertakings for Collective Invest...
Speaking at the AML & ABC Forum at the end of March, Mark Steward, the enforcement director at the UK's Financial Conduct Authority, voiced his worries about some of the recent money-laundering investigations, l...