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 2019 fiscal year saw the UK’s Financial Conduct Authority (FCA) issue its largest total amount in fines against individuals.
Its annual report shows that the FCA imposed £80.2 million ($97.6 million) in fines against eight individuals, compared with about £900,000 ($1.1 million) in fines against 10 individuals the previous year.… Continue Reading
A broker formerly owned by the insurer AXA UK Plc was fined Wednesday for failing to disclose that it wasn’t independent but instead had a business strategy to sell AXA products.… Continue Reading
The SEC increased its headcount by 22 percent and spending by 62 percent since 2006. The increases are part of a global trend as agencies worldwide coordinate their scrutiny over regulated entities.… Continue Reading
The British Bankers’ Association recently issued its 2014 Anti-Bribery and Corruption Guidance, emphasizing the regulatory context and in particular the Financial Conduct Authority’s policies, recent thematic reviews and enforcement action.… Continue Reading