Online edition

Read the newspaper

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’

New

Twenty Most Influential in Wealth Management 2024

Kristen McGachey

SJP poised to re-enter FTSE 100 after share price jump

Citi poaches BlackRock managing director for wealth CIO

Evelyn Partners professional services arm to rebrand after Apax sale

An Audience With

Check out FN's latest profiles

Filter by Topic

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

Kristen McGachey

SJP poised to re-enter FTSE 100 after share price jump

Citi poaches BlackRock managing director for wealth CIO

Evelyn Partners professional services arm to rebrand after Apax sale

Most Read

Kirkland & Ellis hires Clifford Chance London fund finance heavyweight

Simpson Thacher, HSF to launch Luxembourg offices in private capital push

SJP poised to re-enter FTSE 100 after share price jump

Citigroup said to plan fewer promotions in cost-cutting drive

Brevan Howard’s Claire McCathie: ‘Achieving results commands respect’

On the Move

Kirkland & Ellis hires Clifford Chance London fund finance heavyweight

Monzo appoints Mombak’s Tom Oldham as group CFO

Fordham’s geopolitical advisory firm enlists political heavyweights, Citi FX specialist

FN Law

Law firms flock to Milan, Luxembourg in private equity race

Simpson Thacher, HSF to launch Luxembourg offices in private capital push

Kirkland & Ellis hires Clifford Chance London fund finance heavyweight