Financial crime – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 10 Feb 2025 21:13:41 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial crime – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 SEC hacker pleads guilty https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-hacker-pleads-guilty/ Mon, 10 Feb 2025 20:10:08 +0000 https://www.investmentexecutive.com/?p=502097 Breach was used to falsely post about bitcoin ETF approval, sending crypto prices up

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]]> FCA hits ex-analyst with confiscation order https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-hits-ex-analyst-with-confiscation-order/ Mon, 03 Feb 2025 18:03:12 +0000 https://www.investmentexecutive.com/?p=501567 Former Goldman Sachs analyst traded on confidential M&A information

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]]> Former Fed official accused of spying for China https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/former-fed-official-accused-of-spying-for-china/ Mon, 03 Feb 2025 17:42:12 +0000 https://www.investmentexecutive.com/?p=501578 Economist allegedly passed on potentially-sensitive economic data, DoJ says

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]]> Binary options fraudsters ordered to pay US$450 million https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/binary-options-fraudsters-ordered-to-pay-us450-million/ Thu, 30 Jan 2025 22:19:56 +0000 https://www.investmentexecutive.com/?p=501364 U.S. district court issues default judgment in global scheme

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]]> Capital markets vulnerable to criminals: FCA https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/capital-markets-vulnerable-to-criminals-fca/ Thu, 23 Jan 2025 19:11:12 +0000 https://www.investmentexecutive.com/?p=500852 Firms need to beef up anti-money laundering controls, review finds

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]]> SEC makes last-minute enforcement push https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-makes-last-minute-enforcement-push/ Mon, 20 Jan 2025 19:37:19 +0000 https://www.investmentexecutive.com/?p=500545 Agency reports record enforcement filings, seeks to save dealer rule

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]]> Crypto risks remain, European regulators find https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/crypto-risks-remain-european-regulators-find/ Thu, 16 Jan 2025 19:21:39 +0000 https://www.investmentexecutive.com/?p=500368 The sector is vulnerable to money laundering, illicit activity, hacking

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]]> Crypto exchange gets second US$100-million penalty https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/crypto-exchange-gets-second-us100-million-penalty/ Wed, 15 Jan 2025 21:55:57 +0000 https://www.investmentexecutive.com/?p=500213 BitMEX sanctioned in U.S. for anti-money laundering, KYC violations

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]]> Courts making little use of restitution orders https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/courts-making-little-use-of-restitution-orders/ Thu, 09 Jan 2025 21:56:19 +0000 https://www.investmentexecutive.com/?p=499901 Effort to elevate financial compensation in criminal cases falls flat

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]]> RCMP brings in pilot advisory group to bolster capital market investigations https://uat-phoenix.investmentexecutive.com/news/industry-news/rcmp-bring-in-pilot-advisory-group-to-bolster-capital-market-investigations/ Wed, 08 Jan 2025 17:01:35 +0000 https://www.investmentexecutive.com/?p=499770 The group will support the force's Integrated Market Enforcement Team efforts

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