News and commentary about white-collar crime, enforcement, and compliance
Harry Cassin
Publisher and Editor
Andy Spalding
Senior Editor
Jessica Tillipman
Senior Editor
Bill Steinman
Senior Editor
Richard L. Cassin
Editor at Large
Elizabeth K. Spahn
Editor Emeritus
Cody Worthington
Contributing Editor
Julie DiMauro
Contributing Editor
Thomas Fox
Contributing Editor
Marc Alain Bohn
Contributing Editor
Bill Waite
Contributing Editor
Russell A. Stamets
Contributing Editor
Richard Bistrong
Contributing Editor
Eric Carlson
Contributing Editor
The Financial Conduct Authority penalized a compliance officer Friday for allowing customers of the wealth management firms he worked for to receive wrong advice about their pensions.
David Watters was fined £75,000 ($98,000) for failing to “exercise due skill, care and diligence in his role as compliance oversight officer” at two firms.… Continue Reading