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Risk & Compliance
Do You Spend Enough Time Assessing Strategic Risks?
Devote more time to strategic risk management and you won’t be caught completely unprepared.
By
Perry D. Wiggins, C.P.A.
| January 26, 2022
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Commodity Futures Trading Commission
Risk & Compliance
BitMEX Fined $100M in Latest Crypto Crackdown
U.S. regulators alleged the exchange traded digital assets without verifying customer identities and implementing an anti-money laundering program.
By
Matthew Heller
| August 11, 2021
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Risk & Compliance
Coinbase Fined $6M Over Crypto Trade Reporting
The CFTC says the exchange misrepresented the volume and liquidity of digital assets including bitcoin on its GDAX cryptocurrency exchange platform.
By
Matthew Heller
| March 22, 2021
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Regulation
Biden to Name Gary Gensler as SEC Chairman
The appointment of the former CFTC chief "is expected to put an end to the four years of rule-easing" that Wall Street has enjoyed under Jay Clayton.
By
Matthew Heller
| January 13, 2021
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Regulation
CFTC Urges Changes to Climate Risk Disclosure
Current rules have "not resulted in disclosures of a scope, breadth, and quality to be sufficiently useful to market participants and regulators."
By
Matthew Heller
| September 10, 2020
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Payments
Digital Dollar Project Envisions a Fed-Issued Digital Currency
The digital dollar would be distributed through commercial banks and other trusted payment processors.
By
Lauren Muskett
| January 23, 2020
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Risk & Compliance
CFTC Chairman Says Cryptocurrency Ether is a Commodity
Ether futures will begin trading in U.S. markets in the near future.
By
Lauren Muskett
| October 10, 2019
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Risk Management
Clearinghouse Fined $20M for Violating Standards
Regulators say Options Clearing Corp. failed to establish and enforce policies and procedures involving financial risk management.
By
Matthew Heller
| September 5, 2019
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Risk & Compliance
Kraft Settles Futures Market Manipulation Case
The company allegedly made more than $5 million in profits and savings from improper wheat futures trading.
By
Matthew Heller
| August 16, 2019
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Risk & Compliance
JPMorgan Fined $65M Over ISDAFix Rigging
The CFTC says the bank's traders "openly joked about" their efforts to manipulate the global benchmark for interest rate products.
By
Matthew Heller
| June 19, 2018
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Technology
Tech Upgrade Commands CFO’s Focus
Amy Shelly of Options Clearing Corp. faces several challenges in replacing the organization's outdated platform.
By
David McCann
| December 12, 2017
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Regulation
Exchanges Get Green Light for Bitcoin Futures
Bitcoin futures are “a potentially huge step in the evolution of the digital currency, making trading bitcoin easier" for banks and investors.
By
Matthew Heller
| December 1, 2017
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Risk & Compliance
Bitcoin Trader Accused of $600K Ponzi Scam
Nicholas Gelfman allegedly solicited investors with false claims that he would generate a 7% to 9% monthly return from a fund for trading Bitcoin.
By
Matthew Heller
| September 22, 2017
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Risk & Compliance
Many Parts of Dodd-Frank Should Be Repealed
The law was about micromanaging financial services rather than facilitating capital markets.
By
Emre Carr
| September 20, 2017
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Risk & Compliance
Ex-SEC Attorney Raps WSJ Report on Enforcement Activity
Wall Street Journal article criticizing feds' level of enforcement this year is off-base, the attorney explains.
By
Jordan A. Thomas
| August 15, 2017
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Risk & Compliance
Citigroup Fined $25M for ‘Spoofing’ Futures
The first-ever spoofing case against a bank alleges traders placed large futures orders to create a false appearance of market interest in a commodity.
By
Matthew Heller
| January 19, 2017
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