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  • SEC Charges Hedge Fund Trader And Broker-Dealer Partner In Multi-Million Dollar SPAC Insider Trading Scheme

    Date 30/03/2023

    The Securities and Exchange Commission today filed insider trading charges against Sean Wygovsky, a former trader at a Canadian asset management firm, and Christopher Matthaei, a former partner at a U.S. broker-dealer, for using nonpublic information in advance of at least seven merger announcements involving Special Purpose Acquisition Companies (SPACs) to earn illicit profits of more than $3.4 million.

  • US Office Of The Comptroller Of The Currency Establishes Office Of Financial Technology

    Date 30/03/2023

    The Office of the Comptroller of the Currency (OCC) today announced the establishment of its Office of Financial Technology and the selection of Prashant Bhardwaj to lead the office as Deputy Comptroller and Chief Financial Technology Officer, effective April 10, 2023.

  • Fixed Income And Options: The Other Market Structures, Remarks At The Fixed Income Forum Spring Roundtable, SEC Commissioner Caroline A. Crenshaw, Washington D.C., March 30, 2023

    Date 30/03/2023

    Thank you Thanos [Papasavvas], for that kind introduction, and thanks to all of you for inviting me here today.

  • Federal Reserve Board Fines Wells Fargo $67.8 Million For Inadequate Oversight Of Sanctions Risk At Its Subsidiary Bank

    Date 30/03/2023

    The Federal Reserve Board on Thursday announced that it has fined Wells Fargo & Co., of San Francisco, California, $67.8 million for the firm's unsafe or unsound practices relating to historical inadequate oversight of sanctions compliance risks at its subsidiary bank, Wells Fargo Bank, N.A. Wells Fargo & Co.'s deficient oversight enabled the bank to violate U.S. sanctions regulations by providing a trade finance platform to a foreign bank that used the platform to process approximately $532 million in prohibited transactions between 2010 and 2015.

  • Federal Reserve: Senior Credit Officer Opinion Survey On Dealer Financing Terms

    Date 30/03/2023

    Release Dates  RSS DDP

    The Senior Credit Officer Opinion Survey on Dealer Financing Terms (SCOOS) is a quarterly survey providing information about the availability and terms of credit in securities financing and over-the counter (OTC) derivatives markets. The SCOOS is modeled after the long-established Senior Loan Officer Opinion Survey on Bank Lending Practices, which provides qualitative information about changes in supply and demand for loans to households and businesses at commercial banks. The SCOOS collects qualitative information on credit terms and conditions in securities financing and OTC derivatives markets, which are important conduits for leverage in the financial system. The survey panel for the SCOOS began by including 20 dealers and over time has been expanded. These firms account for almost all of the dealer activity in dollar-denominated securities financing and OTC derivatives markets. The survey is directed to senior credit officers responsible for maintaining a consolidated perspective on the management of credit risks. The HTML links below include the full report; the PDF links include the summary only.

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