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US regulator says it uncovered ‘billions of dollars’ of fictitious transactions through entities controlled by Dozy Mmobuosi
Financial Stability Oversight Council flags emerging technology as a ‘vulnerability’ for the first time in latest report
Plans cover fewer trades than initially proposed in concession to hedge funds
Industry says US regulator has not considered impact of its new measures on securities markets
The latest wheeze from lenders is to use ‘credit linked notes’ for capital relief
Republicans sympathise with Wall Street executives’ concerns while some Democrats downplay effect on lending
Richard Teng maintains stance taken by predecessor Changpeng Zhao, who pleaded guilty to US charges last month
JPMorgan Chase boss criticises ‘lack of economic analysis’ behind consumer regulations
CFTC commissioner says crypto groups should ‘take the hint’ after penalty designed to bring ‘order and structure’
US regulator says more than 1,000 of firm’s workers cheated on tests designed to familiarise them with US standards
UBS chair and HSBC chief join Wall Street bankers in questioning US proposals to implement Basel III rules
US compliance squeeze means new chief executive Richard Teng will be hard-pressed to keep exchange competitive
SEC also fines former chief Tom Albanese $50,000 after a five-year legal battle
Wall Street regulator says trading venue commingled customer funds with its own
Proposed deal would come as Washington increases its scrutiny of misconduct in crypto sector
Finra proposal would allow performance projections in marketing to wealthy and institutional investors
Legendary bear says interest in fundamental stockpicking has waned
Republicans on board say review of regulator’s culture must also look at conduct of chair Martin Gruenberg
PCAOB imposes total penalties nearing $12mn against PwC, Deloitte, KPMG and others
If the agency tolerated alleged sexual harassment and loutish boozing in house, no wonder it has struggled to control the bankers
Chair of US banking regulator says a 90-day review of workplace culture has begun
Big Four firm says deficiency rate soared to 46% in annual inspections
Brokers, hedge funds and advisers say proposals are unnecessary and impossible to implement
Or, how to make enemies and annoy (the right) people
Proposal would subject digital wallets and payment applications to more scrutiny
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