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Merrill Lynch to Pay $12 Million for Failing to File Hundreds of Suspicious Activity Reports
Anti-money-laundering rules require broker-dealers to report to regulators on transactions over $5,000, but Merrill’s parent used a $25,000 threshold since their tie-up. Source link
China's Ant Group Slapped With Nearly $1 Billion Fine
Ant Group, the financial-technology company associated with billionaire Jack Ma, was fined by China’s financial regulators, taking the company closer to the end of its
Microsoft to Pay $3 Million Over Russia Sanctions, Export Controls Violations
Risk & Compliance Journal The majority of the apparent violations involved blacklisted Russian companies or persons in the Crimea region of Ukraine, Treasury officials said
TikTok Fined $15.8 Million by U.K. Regulator for Misuse of Children’s Data
Tech Social-media platform failed to remove underage users, authorities say Source link
Jamie Dimon on Banking Turmoil: 'This Wasn't the Finest Hour for Many Players'
The JPMorgan CEO says regulations need tweaking following the failures of Silicon Valley Bank and Signature. Source link
Justice Department, EPA File Complaint Against Norfolk Southern
Government alleges that the Ohio train derailment discharged hazardous substances that violate the Clean Water Act. Source link
FTX Founder Sam Bankman-Fried Pleads Not Guilty to Latest Federal Charges
Markets Currencies Cryptocurrency Lawyer says latest charges go against terms of the extradition agreement with the Bahamas Source link
Binance Sees $2 Billion in Outflows as Troubles Compound
In a tumultuous few days, the crypto giant raised fees, suffered software issues and faced a regulator lawsuit. Source link
Fed Official Calls Silicon Valley Bank Failure a ‘Textbook Case of Mismanagement’
Markets Financial Regulation Michael Barr, the Federal Reserve’s vice chairman for supervision, says the bank didn’t manage its risks Source link
Fed Official Calls Silicon Valley Bank Failure a ‘Textbook Case of Mismanagement’
Markets Financial Regulation Michael Barr, the Federal Reserve’s vice chairman for supervision, says the bank didn’t manage its risks Source link