FTSE Mondo Visione Exchanges Index:
News Centre
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CFTC Commissioner Pham To Keynote At FIX Americas Trading Conference 2024
Date 10/10/2024
WHAT:
Commissioner Caroline D. Pham will speak on a keynote fireside chat at FIX Trading Community’s Americas Trading Conference 2024.
WHEN:
Wednesday, October 16, 2024
11:00 a.m. (EDT)WHERE:
etc.venues
360 Madison Avenue
New York, NY 10017
Additional Information: Americas Trading Conference 2024 -
Ontario Securities Commission Seeks Applications For The Registrant Advisory Committee
Date 10/10/2024
The Ontario Securities Commission (OSC) is inviting applications for membership on its Registrant Advisory Committee (RAC or the Committee).
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FinCEN Assesses Record $1.3 Billion Penalty Against TD Bank
Date 10/10/2024
The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) assessed a record $1.3 billion penalty against TD Bank, N.A. and TD Bank USA, N.A. (collectively, TD Bank, or the Bank) for violations of the Bank Secrecy Act (BSA), the primary U.S. anti-money laundering (AML) law that safeguards the financial system from illicit use. TD Bank is among the largest banks in the United States.
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Remarks By Deputy Secretary Of The US Treasury Wally Adeyemo At Press Conference At The Department Of Justice
Date 10/10/2024
Thank you. I am glad to join Attorney General Garland, Deputy Attorney General Monaco, and the rest of you here today. I applaud DOJ’s efforts. I won’t speak to its case, but to the separate investigation that Treasury’s Financial Crimes Enforcement Network undertook and the action we’ve taken.
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U.S. Department Of Justice: TD Bank Pleads Guilty To Bank Secrecy Act And Money Laundering Conspiracy Violations In $1.8B Resolution
Date 10/10/2024
TD Bank N.A. (TDBNA), the 10th largest bank in the United States, and its parent company TD Bank US Holding Company (TDBUSH) (together with TDBNA, TD Bank) pleaded guilty today and agreed to pay over $1.8 billion in penalties to resolve the Justice Department’s investigation into violations of the Bank Secrecy Act (BSA) and money laundering.
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EDHEC Infra & Private Assets: Private Equity Risk Can Be Extremely High - True 10-Year Volatility Can Reach 28% In The Case Of The European Natural Resources Sector
Date 10/10/2024
Private equity investments offer high returns in exchange for taking a certain level of risk. These risks result first and foremost in considerable return dispersion and sometimes, despite the long-term investment horizon, in exits in less favourable conditions than anticipated by investors. Private companies can also go bankrupt, but they are more likely to do so in certain segments of the private market. Stratifying the PE universe using the PECCS taxonomy, a range of risk/return profiles appears that suggest a wide range of risk-taking and return-seeking strategies.
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Federal Reserve Board Fines Toronto-Dominion Bank $123.5 Million For Violations Related To Anti-Money Laundering Laws
Date 10/10/2024
The Federal Reserve Board on Thursday fined Toronto-Dominion Bank $123.5 million for violations related to anti-money laundering laws. The Board is also requiring TD to implement enhanced measures to comply with anti-money laundering laws and to correct its risk management deficiencies.
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SEC Charges Cumberland DRW For Operating As An Unregistered Dealer In The Crypto Asset Markets
Date 10/10/2024
The Securities and Exchange Commission today charged Chicago-based Cumberland DRW LLC with operating as an unregistered dealer in more than $2 billion of crypto assets offered and sold as securities, in violation of the registration requirements of the federal securities laws that are designed to protect investors.
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SEC Issues $12 Million Award To Joint Whistleblowers
Date 10/10/2024
The Securities and Exchange Commission today announced a $12 million award to be split among three joint whistleblowers who provided critical information and assistance in an SEC enforcement action.
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US Office Of The Comptroller Of The Currency Issues Cease And Desist Order, Assesses $450 Million Civil Money Penalty, And Imposes Growth Restriction Upon TD Bank, N.A. For BSA/AML Deficiencies
Date 10/10/2024
The Office of the Comptroller of the Currency (OCC) today announced a cease and desist order and a $450 million civil money penalty against TD Bank, N.A. and TD Bank USA, N.A. (bank), for deficiencies in the bank’s Bank Secrecy Act (BSA) and anti-money laundering (AML) compliance program. Today’s action also imposes a restriction on the growth of the bank and a measure designed to ensure that the bank invests sufficient resources to remediate its BSA/AML deficiencies in a timely manner.
