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US CFTC

Commodities Futures Trading Commission of the United States

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Wall Street to Pay $1.8bn for Personal Device Misuse

by Starling Insights

Observations

Sep 28, 2022

The US Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) announced yesterday that eleven Wall Street banks and brokerages would pay a total of $1.8 billion in fines in relation to the regulators' probe into the use of banned messaging apps by employees.

The 2022 Compendium is available now!

Now in its 5th year, Starling's Compendium features over 60 contributors from across the industry as well as detailed analysis of the latest trends in culture & conduct risk supervision.

2019 UPDATE | United States

by Starling Insights

Compendium

Mar 26, 2019

During 2018, regulators in the United States continued along the same path as previous years. The New York Federal Reserve Bank remained the most vocal body discussing the importance of culture in financial services, and the new president of the bank, John Williams, indicated his intention to continue the initiatives of his predecessor Bill Dudley, who launched an annual conference on culture and conduct risk ... cont

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