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CFTC

SEC nears settlement with financial services firms over WhatsApp

Around 16 broker-dealers noted SEC probes into their communications

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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FN100 Women in European Finance 2024

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Is TikTok an unregistered crypto exchange? Yes, this compliance expert tells the FCA

FCA plans ‘name and shame’ case studies as landmark reforms take shape

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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

Justin Cash

Is TikTok an unregistered crypto exchange? Yes, this compliance expert tells the FCA

FCA plans ‘name and shame’ case studies as landmark reforms take shape

FN100 Women: Meet Europe’s top regulators

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Meet the 100 Most Influential Women in Finance 2024

Wall Street execs caution on dealmaking rebound even as investment banking fuels profit rise

Who are the City’s top female lawyers?

Is TikTok an unregistered crypto exchange? Yes, this compliance expert tells the FCA

BlackRock creates active stewardship team to assist with private markets push

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Former Goldman Sachs executive Amar Kuchinad joins crypto firm Copper as CEO

Kirkland loses regulatory partner to Paul Weiss

BNP Paribas dealmaker McNaught departs in UK advisory shake-up

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Who are the City’s top female lawyers?

Kirkland loses regulatory partner to Paul Weiss

Goodwin loses another partner to Debevoise