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SEC fines Yahoo (aka Altaba) $35 million for failing to disclose massive cybersecurity breach

Russian hackers in late 2014 stole Yahoo’s “crown jewels”, hundreds of millions of usernames, emails, phone numbers,...

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The regulatory case and example of Wells Fargo

Over $4 billion set aside for the fake account and MBS issues post-crisis, another billion today in...

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Delay for AIFMD third-country passport extension

Delay for AIFMD third-country passport extension

It looks like the EU will hold off on AIFMD third-country passport extensions until Brexit develops a...

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cyber security

Average annualized cost of cybersecurity for financial services firms $17M+

Below are a few interesting data points from the Ponemon Institute 2017 Cost of Cyber Crime Study, jointly...

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SEC names Driscoll as Director of OCIE and moves away from “broken windows” approach

SEC names Driscoll as Director of OCIE and moves away from “broken windows” approach

The SEC officially named Pete Driscoll the Director of the agency’s Office of Compliance Inspections and Examinations...

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SEC issues three no-action letters on Mifid II research provisions

SEC issues three no-action letters on Mifid II research provisions

Following a consultation with the European authorities, the SEC issued three no-action letters that deal with access...

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PWC’s Asset & Wealth Industry Predictions: Assets “double”, greater risks

PWC’s Asset & Wealth Industry Predictions: Assets “double”, greater risks

PWC in its latest Asset & Wealth Management Industry whitepaper predicts assets to go from $85T to...

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Risk & compliance: Aladdin generates $600m for BlackRock from 180 external clients

Risk & compliance: Aladdin generates $600m for BlackRock from 180 external clients

BlackRock highlights technology as a growth driver and with Aladdin generated $595 million in revenue from 180...

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Compliance and RegTech: Paris vs London post Brexit

Compliance and RegTech: Paris vs London post Brexit

The Compliance Strategy Institute (CSI) last month held Executive roundtables both in London and Paris, with specific...

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Treasury Dept vs. SEC?

Treasury Dept vs. SEC?

The Department of the Treasure threw down the gauntlet with “the executive branch’s plan to promote vibrant...

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