Skip to content

Editors

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

Shruti J. Shah
Contributing Editor

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

SEC recommends FCPA charges against BNY Mellon for sovereign wealth fund practices

Bank of New York Mellon Corp. said the SEC has recommended an enforcement action for possible FCPA violations related to the bank’s dealings with sovereign wealth funds.

In an SEC filing Friday, BNY said it received a so-called Wells Notice in the fourth quarter of 2014, and some current and former employees had received the same notice in the third quarter.… Continue Reading

Two brokerage execs plead guilty for Venezuela bribes

Two executives of an SEC-register broker-dealer pleaded guilty Thursday to bribing an official of a state-owned Venezuelan bank in exchange for bond trading business.

Ernesto Lujan, a former managing partner of Direct Access Partners, and Tomas Alberto Clarke Bethancourt (also known as Tomas Clarke), a former senior vice president, pleaded guilty to conspiracy, money laundering, and violating the Foreign Corrupt Practices Act.… Continue Reading

Job: Compliance, PWM Surveillance, Analyst/Associate

Job Title: Compliance, PWM Surveillance, Analyst/Associate

Employer: Goldman Sachs

Location: New York, NY

Job Scope: The Private Wealth Management (PWM) Compliance Surveillance Business Analyst will be a critical participant in the continued enhancement of an optimized global surveillance program. … Continue Reading