SEC Awards Approximately $2 Million to Whistleblower

The Securities and Exchange Commission today announced an award of approximately $2 million to a whistleblower who provided vital information and assistance that substantially contributed to an ongoing investigation.   The whistleblower’s information would have been difficult for the agency to obtain absent the tip. “The whistleblower’s actions in this matter were extraordinary,” said Jane Norberg, Chief of the SEC’s Office of the Whistleblower.   “The whistleblower expeditiously reported the ..

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Sandberg Financials LLC

Warnings Published: 03/04/2020 Last updated: 03/04/2020

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Compare My Policy

Warnings Published: 03/04/2020 Last updated: 03/04/2020

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IOSCO Statement on Application of Accounting Standards during the COVID-19 Outbreak

MEDIA RELEASE International Organization of Securities Commissions Organisation internationale des commissions de valeurs Organização Internacional das Comissões de Valores Organización Internacional de Comisiones de Valores ﺔﯿﻟﺎﻤﻟا قاروﻷا تﺎﺌﯿﮭﻟ ﺔﯿﻟوﺪﻟا ﺔﻤﻈﻨﻤﻟا IOSCO/MR/08/2020 Madrid, 03 April 2020 IOSCO Statement on Application of Accounting Standards during the COVID-19 Outbreak The International Organization of Securities Commissions (IOSCO) is the leading international..

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Basel Committee and IOSCO announce deferral of final implementation phases of the margin requirements for non-centrally cleared derivatives

Press release Ref no: IOSCO MR/07/2020 Press enquiries: +41 61 280 8188 [email protected] org https://www. iosco. org www. bis. org 3 April 2020 Basel Committee and IOSCO announce deferral of final implementation phases of the margin requirements for non- centrally cleared derivatives The Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) continue to monitor the impact of t..

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FDIC Extends Comment Period on Modernizing Brokered Deposit Restrictions

FOR IMMEDIATE RELEASE Media Contact:Brian Sullivan(202) [email protected] gov WASHINGTON – In light of the challenges associated with COVID-19, the Federal Deposit Insurance Corporation (FDIC) today announced that it will extend the public comment period for its proposed rule to modernize its brokered deposit regulations by 60 days. Interested parties responding to FDIC's Notice of Proposed Rulemaking on Brokered Deposit Restrictions Applicable to Less Than Well Capitalized Banks may no..

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Joint FCA and PRA statement Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of dual-regulated firms

An exception is the identification of ‘key workers’ which, as noted in the FCA and PRA statements on key workersNotifications about changes to Senior Manager responsibilities  The obligation on firms to update and resubmit a Statements of Responsibilities (SoRs) if there are ‘significant changes’ to Senior Management Functions (SMFs) responsibilities is set in statute. There is no fixed statutory deadline for firms to resubmit revised SoRs in the event of such a significant change.  PRA Supervis..

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FDIC Issues List of Banks Examined for CRA Compliance

FOR IMMEDIATE RELEASE Media Contact:David BarrOffice: (202) 898-6992Cell: (703) [email protected] gov WASHINGTON - The Federal Deposit Insurance Corporation (FDIC) today issued its list of state nonmember banks recently evaluated for compliance with the Community Reinvestment Act (CRA).   The list covers evaluation ratings that the FDIC assigned to institutions in January 2020.   The CRA is a 1977 law intended to encourage insured banks and thrifts to meet local credit needs, including thos..

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Senior Managers and Certification Regime (SM&CR) and coronavirus (Covid-19): our expectations of solo-regulated firms

Senior Management responsibilities Senior Managers are responsible for risks in their areas of responsibility and should be considering:  where the current situation might lead to emerging risks, and  how it affects existing risks, along with the controls used to manage them We give more details of our expectations about Senior Manager responsibilities in our previous statement.   Statements of Responsibilities and ‘significant changes’ to Senior Manager Responsibilities We recognise that some f..

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Joint PRA and FCA Statement on ‘Senior Managers and Certification Regime and Coronavirus: Our expectations of firms’

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