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Search resuls for: "Mengqi Sun"


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☆ Wells Fargo, SocGen to Settle With SEC, CFTC Over Use of Messaging Apps
  + stars: | 2023-08-04 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/wells-fargo-socgen-to-settle-with-sec-cftc-over-use-of-messaging-apps-ac420973
Persons: Dow Jones
☆ BNP Paribas to Settle SEC, CFTC Probes Over Use of Banned Messaging Apps
  + stars: | 2023-07-28 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/bnp-paribas-to-settle-sec-cftc-probes-over-use-of-banned-messaging-apps-1d918bd3
Persons: Dow Jones Organizations: bnp
☆ He Went to Prison for Crypto Crime. Now He’s an Advocate for Compliance.
  + stars: | 2023-07-27 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/he-went-to-prison-for-crypto-crime-now-hes-an-advocate-for-compliance-c18f5508
Persons: Dow Jones
☆ Director of CFTC’s Whistleblower Program Steps Down
  + stars: | 2023-07-14 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/director-of-cftcs-whistleblower-program-steps-down-c4733518
Persons: Dow Jones
☆ Merrill Lynch to Pay $12 Million for Failing to File Hundreds of Suspicious Activity Reports
  + stars: | 2023-07-12 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/merrill-lynch-to-pay-12-million-for-failing-to-file-hundreds-of-suspicious-activity-reports-227cdb07
Persons: Dow Jones, merrill, 227cdb07
☆ Wall Street Regulators’ New Target: Emojis
  + stars: | 2023-06-29 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/emojis-wall-street-regulators-finance-finra-5bbf5688
Persons: Dow Jones
☆ Swedbank to Pay $3.4 Million to Settle U.S. Sanctions Violations
  + stars: | 2023-06-21 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/swedbank-to-pay-3-4-million-to-settle-u-s-sanctions-violations-48c3f856
Persons: Dow Jones
☆ Circle Hires Former CFTC Chairman Heath Tarbert as Legal Chief
  + stars: | 2023-06-08 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/circle-hires-former-cftc-chairman-heath-tarbert-as-legal-chief-523a70d9
Persons: Dow Jones, 523a70d9 Organizations: cftc
☆ Other Tipsters Appeal After SEC Awarded One Whistleblower $279 Million in Ericsson Case
  + stars: | 2023-06-02 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/other-tipsters-appeal-after-sec-awarded-one-whistleblower-279-million-in-ericsson-case-c00a9984
Persons: Dow Jones Organizations: ericsson
☆ Record $279 Million Whistleblower Award Went to a Tipster on Ericsson
  + stars: | 2023-05-27 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/record-279-million-whistleblower-award-went-to-a-tipster-on-ericsson-5af40b98
☆ Skincare Company Murad Agrees to Settle Iran Sanctions Violations
  + stars: | 2023-05-18 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/skincare-company-murad-agrees-to-settle-iran-sanctions-violations-79f55f87
☆ Bittrex Files for Bankruptcy After SEC Sues the Crypto Platform
  + stars: | 2023-05-08 | by ( Mengqi Sun | Becky Yerak | ) www.wsj.com   time to read: 1 min
Bittrex Inc., once among the country’s biggest crypto trading platforms, filed for bankruptcy Monday after being sued by federal securities regulators and winding down its U.S. operations. The Securities and Exchange Commission sued Bittrex last month as the Seattle-based crypto exchange was preparing to exit the American market, citing what it called the difficulty of working with U.S. regulators, The Wall Street Journal reported. Bittrex told its U.S. customers they should withdraw their funds by April 30, when the company shut down its American operations, according to its website.
☆ SEC Issues $279 Million Whistleblower Award, Its Largest Ever
  + stars: | 2023-05-05 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
The Securities and Exchange Commission said it awarded a whistleblower who voluntarily provided original information that led to an enforcement action by the regulator as well as two related actions. Photo: Farrah Skeiky for The Wall Street JournalThe Securities and Exchange Commission said it has awarded nearly $279 million to a whistleblower who helped the regulator and other agencies bring enforcement actions, its largest award ever. The securities market regulator announced the award Friday but didn’t name the case it is connected to or identify the tipster, in keeping with its policy of not divulging this information to the public.
☆ New York Attorney General Seeks Broader Authority to Police Crypto
  + stars: | 2023-05-05 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
New York Attorney General Letitia James will propose a bill that would broaden her office’s enforcement authority over crypto firms. Photo: Seth Wenig/Associated PressNew York Attorney General Letitia James is proposing new legislation that would give her office more authority to regulate the increasingly tumultuous cryptocurrency industry. The bill would give the attorney general’s office broader enforcement authority over crypto firms that have operations in the state, while codifying the New York State Department of Financial Services’ authority to license participants in the sector and oversee the state’s digital asset licensing regime.
☆ Biden Signs Executive Order to Levy Sanctions Related to Sudan Crisis
  + stars: | 2023-05-05 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
Smoke rose above buildings in Khartoum, Sudan, after aerial bombardment on Monday. Photo: MOHAMED NURELDIN ABDALLAH/REUTERSPresident Biden signed an executive order enabling the U.S. to impose new sanctions on individuals and entities related to the conflict in Sudan. The order, published Thursday, expanded the scope of the U.S. sanctions regime against the East African nation to allow the U.S. Treasury Department and the State Department to blacklist people and entities involved in activities that threaten the peace, security and stability of Sudan.
☆ Crypto Exchange Poloniex to Pay $7.6 Million to Settle Probe Into Sanctions Violations
  + stars: | 2023-05-02 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
The settlement agreement alleged that Poloniex processed digital assets transactions worth a total of more than $15.3 million for customers in sanctioned regions between 2014 and 2019. Photo: Patrick Semansky/Associated PressCryptocurrency exchange Poloniex LLC has agreed to pay about $7.59 million to settle allegations it allowed users in sanctioned regions to trade digital assets on its platform, the U.S. Treasury Department said. The settlement agreement, which became public Monday, alleged that Poloniex processed digital assets transactions worth a total of more than $15.3 million for customers in sanctioned regions between 2014 and 2019, despite the platform having know-your-customer information and internet protocol address data that told them otherwise, according to the Treasury’s Office of Foreign Assets Control, which enforces U.S. economic sanctions.
☆ U.S. Treasury Looks to Curb ‘De-risking’ at Banks
  + stars: | 2023-04-26 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
Deputy Treasury Secretary Wally Adeyemo. Photo: Andrew Harnik/Associated PressThe Biden administration is looking to address actions taken by U.S. banks to unbank certain customers and groups over their perceived connections to higher money-laundering risks. Banks’ decisions to limit exposure to certain categories of customers over increased illicit finance risks could hurt those communities and pose a national security risk by driving financial activities out of the regulated banking system, the U.S. Treasury Department said.
☆ Barclays Names HSBC Executive as Compliance Chief
  + stars: | 2023-04-21 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
Barclays is navigating regulatory probes and a downturn in deals. Photo: Jason Alden/Bloomberg NewsBarclays PLC has hired a new chief compliance officer from rival HSBC Holdings PLC, as the bank navigates a deal-making downturn and continuing regulatory investigations into former Chief Executive Jes Staley ’s ties with convicted sex offender Jeffrey Epstein . London-based Barclays said Thursday that it has named Kirsty Everett as its new compliance chief, ending a few months of search. Ms. Everett is joining from HSBC, where she was group head of compliance after previously holding other senior compliance roles. She will start July 1, subject to regulatory approval, Barclays said.
☆ New York Finance Regulator to Bill Crypto Firms for Annual Supervision Fees
  + stars: | 2023-04-17 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
The assessment fees will in part be based on a formula of a crypto firm’s size and complexity, Superintendent Adrienne A. Harris said. The New York State Department of Financial Services said it would start charging cryptocurrency firms registered in the state for the costs of annual supervision and examination. The new rule, adopted Monday and applying to those holding a so-called Bitlicense, aligns the crypto sector more closely with how the agency bills insurance and banking firms in New York for the assessment fees that fund the agency’s operations.
☆ SEC Targets Bittrex, Fallen Giant of U.S. Crypto Exchanges
  + stars: | 2023-04-14 | by ( Dave Michaels | Mengqi Sun | ) www.wsj.com   time to read: 1 min
WASHINGTON—Bittrex Inc. once ranked as the country’s biggest platform for trading digital assets. Its rocky history at home is coming to an end with a regulatory threat and a decision to leave the U.S. for good. The Securities and Exchange Commission’s enforcement staff told Bittrex in March it would recommend that the agency sue the company over alleged violations of investor-protection laws, according to David Maria , the company’s general counsel.
☆ Binance Compliance Chief Calls His Job One of the ‘Most Challenging’
  + stars: | 2023-04-06 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
Binance compliance chief Noah Perlman said the crypto ‘regulation by enforcement’ approach taken in the U.S. is often difficult to navigate. NEW YORK— Noah Perlman , the newly hired global chief compliance officer at Binance Holdings Ltd., said the regulatory environment for the cryptocurrency industry has made his job one of the “most challenging opportunities in compliance.”Mr. Perlman, speaking at a crypto industry conference on Tuesday, said it has been difficult to navigate the often opaque rules governing the crypto industry without being on the wrong side of the regulators.
☆ New York Finance Regulator Says Signature Bank’s Closure Not Related to Crypto
  + stars: | 2023-04-06 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
Superintendent Adrienne A. Harris described the events leading to the Signature failure as “a new-fashioned bank run.”The head of the New York State Department of Financial Services said the regulator’s decision to close Signature Bank last month was as a result of problems with the New York bank’s liquidity, not simply because it had banking customers in the cryptocurrency space. Superintendent Adrienne A. Harris, speaking at a crypto industry conference Wednesday, described the events leading up to the Signature failure last month as “a new-fashioned bank run,” in which the bank had a high percentage of uninsured deposits and lacked liquidity management protocols to meet withdrawal requests.
☆ CFTC Charges Against Binance Highlight Role of Former Compliance Chief
  + stars: | 2023-03-30 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
A Binance spokeswoman called the complaint filed by the CFTC ”unexpected and disappointing as we have been working collaboratively with the CFTC for more than two years.”The suit by U.S. regulators against Binance Holdings Ltd. focuses in large part on the work of the cryptocurrency exchange’s former chief compliance officer, alleging he willfully aided and abetted the firm in evading U.S. laws. Samuel Lim, Binance’s compliance chief between 2018 and 2022, faces civil charges of undermining Binance’s compliance program and conducting activities to evade rules designed to prevent illicit financial activity, the Commodity Futures Trading Commission said Monday.
☆ ChipMixer Is Shut Down for Allegedly Laundering $3 Billion in Crypto
  + stars: | 2023-03-15 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
ChipMixer has been used to launder illicit funds gained from ransomware attacks, crypto heists and other types of fraud since 2017, the U.S. Justice Department has alleged. U.S. and European authorities took down cryptocurrency platform ChipMixer and charged its alleged operator, accusing it of laundering more than $3 billion of criminal proceeds, including $700 million allegedly stolen by North Korean hackers. ChipMixer has been a popular platform for laundering illicit funds gained from ransomware attacks, crypto heists and other types of fraud since 2017, the U.S. Justice Department alleged Wednesday. Mixers such as ChipMixer enable users to commingle their funds to obfuscate ownership.
☆ Former SEC Commissioner Allison Herren Lee Joins Whistleblower Law Firm
  + stars: | 2023-03-11 | by ( Mengqi Sun | ) www.wsj.com   time to read: 1 min
Allison Herren Lee served as an SEC commissioner from 2019 to 2022. Allison Herren Lee , a former commissioner of the U.S. Securities and Exchange Commission, has joined a whistleblower law firm. Ms. Lee is joining Kohn, Kohn & Colapinto LLP, a Washington-based law firm representing whistleblowers, the firm said late Wednesday. She will help represent whistleblowers, including those in cases related to securities, commodities and anti-money-laundering laws, as well as those involving problems related to environmental, social and corporate governance, according to Stephen M. Kohn, a founding partner of the law firm.
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