Regulation

Capital Markets

Could a Run on Stablecoins Disrupt the Commercial Paper Market?

Stablecoins that approach a systemically important scale could play an important role in short-term securities markets, says Fitch.

Vincent Ryan
October 19, 2021
Compensation

Will the SEC Finally Approve a Tougher Clawback Rule?

A 2015 proposal, never adopted, would put the incentive-based compensation of other executive officers at risk.
Cryptocurrency

IMF Warns of Crypto Risks to Financial Stability

“The anonymity of crypto assets and limited global standards create significant data gaps for regulators.”
Fraud

Ex-Goldman Compliance Analyst Accused of Insider Trading

The SEC says a Spanish national abused his position in Goldman's compliance unit to make more than $471,000 in profits from insider trades.
Risk & Compliance

Ad Giant WPP Fined $19M for FCPA Violations

The SEC says the company failed to properly supervise subsidiaries in foreign countries, resulting in bribery and other illicit schemes.
Cryptocurrency

U.S. Slaps Crypto Exchange With Sanctions

In an unprecedented enforcement action, the Treasury Department says Suex OTC facilitated the laundering of illicit proceeds from ransomware attacks.
Regulation

Coinbase Shelves ‘Lend’ Amid SEC Pushback

Having to scrap the lending program "is a major blow for Coinbase as the firm tries to diversify revenue beyond its trading fees.”
Capital Markets

SEC Gives Bond Dealers 3-Month Reprieve

The commission has delayed enforcement of amendments to a disclosure rule amid concerns over its potential impact on the bond markets.
Regulation

FTC Releases Study of Big-Tech Mergers

The report found that 616 deals of more than $1 million flew "under the radar" of antitrust reporting requirements between 2010 and 2019.
Regulation

Regulator Hits Wells Fargo With $250M Fine

The OCC says deficiencies in a Wells Fargo loan modification program constituted “reckless unsafe or unsound practices."
COVID-19

Biden Mandates Vaccines for Large Companies

“We’re going to reduce the spread of COVID-19 by increasing the share of the workforce that is vaccinated in businesses all across America.”
Regulation

Coinbase Clashing With SEC Over Lending Platform

“If we end up in court we may finally get the regulatory clarity the SEC refuses to provide,” Coinbase CEO Brian Armstrong says.
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