Samar Yanni is Head of Membership and Professional Standards at the Chartered Institute for Securities & Investment. Stella Chandler is Director at Focal Point Training A recent survey by the Chartered Institute for Securities & Investment and Focal Point yielded shocking results on the impact of jokes in the workplace. Before we dive into the … Read more
The New York State Department of Financial Services has fined online brokerage Robinhood Markets Inc.’s cryptocurrency trading unit $30 million for alleged violations of anti-money laundering regulations. money and cybersecurity, as part of the department’s first crypto enforcement action. Newsletter Sign-Up WSJ | Risk and Compliance Journal Our Morning Risk Report features insights and news … Read more
Subscribers to healthcare app One Medical vowed to cancel their memberships on Friday after it was announced that the startup dubbed “the Netflix of primary care” would be acquired by Amazon for $3.9 billion. See: Amazon’s acquisition of One Medical sparks data privacy backlash: ‘What could go wrong?’ Angry One Medical ONEM, -0.58% subscribers said … Read more
Senior executives at some of the UK’s biggest fund companies are keen to move to a four-day working week as financial services companies continue to tear up regulations after the Covid pandemic. A survey of 200 senior asset management executives by professional services firm Accenture found 76% would favor working fewer days a week as … Read more
Melinda Hightower and Lynette Jefferson, executives at UBS Global Wealth Management, explain how racial stock investing works. Jefferson will speak at Barron’s ESG+ Impact Summit in New York City on June 22. Photograph by Lauren Perlstein Text size Lynette Jefferson and Melinda Hightower, two executives from UBS Global Wealth Management, come to the same goal … Read more
Text size *** DISPOSABLE *** The time of dreams Chime Financial, a highly regarded fintech, may have put its IPO plans on hold. “Not only do we have the ability to add additional products and services, but we will continue to address more areas of our members’ financial lives,” said Chris Britt, co-founder and CEO … Read more
The U.S. Senate on Thursday approved nearly $100 million in funds that lawmakers said would be used to bolster efforts to crack down on financial crimes, including by enforcing sanctions against Russia and seizing assets linked to the country’s invasion of Ukraine. The funds were part of a nearly $40 billion military and economic aid … Read more
NEW YORK—Senior officials from the U.S. Treasury Department, Department of Commerce, and New York State Department of Financial Services have said that when it comes to the digital asset industry, the involvement of the private sector is crucial, not only for its technological advancement, but also to ensure that it is not used for malicious … Read more
The U.S. Senate on Thursday approved nearly $100 million in funds that lawmakers said would be used to bolster efforts to crack down on financial crimes, including by enforcing sanctions against Russia and seizing assets linked to the country’s invasion of Ukraine. The funds were part of a nearly $40 billion military and economic aid … Read more
CFA. Trustee. RIA. These terms are not exactly self-explanatory. But when it comes to finding a financial advisor, you’ll be better equipped if you know the industry jargon and what’s behind a slew of acronyms. So we’ve put together a handy glossary of fundamental financial advisor terminology and definitions that will help you master the … Read more