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CFTC

SEC nears settlement with financial services firms over WhatsApp

Around 16 broker-dealers noted SEC probes into their communications

The latest settlement is likely to see firms finalising deals that would include an admission of wrongdoing and commitment to fixing the issues

2 min read

Goldman Sachs to pay $5.5m to settle charges over pandemic-era audio records

By Penny Sukhraj

2023-08-30T07:11:07Z

3 min read

Investment Banking compliance Regulation Goldman Sachs CFTC

Problems with its vendor system led to Goldman's failure to retain records of thousands of calls

Goldman Sachs settles swaps business probe after paying $15m

2023-04-11T05:59:58Z

2 min read

Investment Banking Regulation Goldman Sachs CFTC

SEC’s Gensler backs commodities regulator oversight of crypto: ‘Let’s ensure that we don’t inadvertently undermine securities laws’

2022-09-08T16:10:41Z

2 min read

Securities and Exchange Commission Regulation Cryptocurrency CFTC

SEC’s Gary Gensler warns lawmakers not to undermine wider markets with crypto rules

2022-06-15T06:14:46Z

2 min read

SEC Crypto Fintech CFTC

‘We don’t want to undermine the protections we have in a $100tn capital market’

CFTC’s Rostin Behnam: Regulators need to act collectively on digital assets

2022-04-27T14:50:53Z

3 min read

Crypto exchanges Regulation CFTC

Watchdog's chair says issue is ‘high priority’

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CFTC

SEC nears settlement with financial services firms over WhatsApp

Goldman Sachs to pay $5.5m to settle charges over pandemic-era audio records

Goldman Sachs settles swaps business probe after paying $15m

SEC’s Gensler backs commodities regulator oversight of crypto: ‘Let’s ensure that we don’t inadvertently undermine securities laws’

SEC’s Gary Gensler warns lawmakers not to undermine wider markets with crypto rules

CFTC’s Rostin Behnam: Regulators need to act collectively on digital assets

David Wighton

Why Trump might let down his bitcoin fans

Wall Street fears Trump, but he could be good for business

Why investment bankers struggle to cross-sell wealth management

Most Read

London lawyer dies after drinking toxic alcohol in Laos

Goldman Sachs names new ECM leadership in Europe after departures

Robert Jenrick’s wife Michal Berkner leaves McDermott Will & Emery

The new boutique bank looking to grow to 130 dealmakers and take on the mid-market

Sidley Austin raids Latham & Watkins for 10-lawyer team in London

On the Move

Trading Places: Goldman’s ECM shake-up, Latham’s latest raid

Sidley Austin raids Latham & Watkins for 10-lawyer team in London

CDPQ hires Sharon White to lead push in Europe

FN Law

Robert Jenrick’s wife Michal Berkner leaves McDermott Will & Emery

Tributes paid to ‘talented’ lawyer who died in Laos poisoning

London lawyer dies after drinking toxic alcohol in Laos