Weekly Regulatory Deadlines | Apr 03 to Apr 09
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
SEC | Broker-Dealer, Securities | Final Rule
Swiss Fintech Sector Grows, While Traditional Banks Decline
A new study shows that the fintech sector in Switzerland continues to grow, while traditional financial institutions are stagnating. The report was published...
Can AI help banks handle Venezuelan sanctions?
American Banker 04/08/2019
The Trump administration’s tightened sanctions on the regime of Venezuela's Nicolás Maduro have tested U.S. banks’ transaction monitoring systems, with some institutions responding by refusing to accept payments to and from the country, a move that could worsen the country's humanitarian crisis...
Facebook Data Exposure Offers Critical Lesson for Internal Auditors
The Institutes of Internal Auditors 04/08/2019
IIA President and CEO Richard Chambers, CIA, QIAL, CGAP, CCSA, CRMA, shares his personal reflections and insights on the internal audit profession...
Survey: Few people think they're getting a tax cut under Trump's law
The Hill: Financial Policy 04/08/2019
Few Americans think they will pay less in taxes under President Trump's 2017 law, according to a new survey, despite estimates that most people will get a tax cut...
Texas man pleads guilty to wire fraud conspiracy in $360 million Ponzi scheme
The Washington Post 04/03/2019
One of three defendants in an alleged $360 million Ponzi scheme that affected at least 400 people, mostly in Maryland, has reached a plea deal with federal prosecutors...