Weekly Regulatory Deadlines | Apr 10 to Apr 16
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
New Challenges, Competitive Threats Sharking Financial Waters
The Financial Brand 04/15/2019
In banking, there's no shortage of competitive threats. Facing intense pressure, traditional institutions are innovating faster than ever...
UniCredit to Pay $1.3 Billion to Settle Sanctions Charges
The Wall Street Journal 04/15/2019
Banks owned by UniCredit Group have agreed to pay $1.3 billion to settle claims they processed payments allegedly in violation of multiple U.S. government-sanctions programs...
GE finalizes $1.5B DOJ settlement over old subprime unit
National Mortgage News 04/12/2019
General Electric Co. finalized an agreement to pay $1.5 billion to settle a U.S. investigation into the manufacturer's defunct subprime mortgage business...
Intuit CIO: Be Strategic About the Bots You Build
The Wall Street Journal 04/11/2019
Automation has become a top priority for Atticus Tysen, chief information officer of financial software company Intuit Inc., which is using software robots to automate repetitive tasks in the finance and human resources departments...