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CMA extends timetable for retail banking market investigation

The CMA expects to extend the timetable for its investigation into the retail banking market.

/Legal

Finra sanctions Fidelity Brokerage Services $1 million for supervisory failures

The Financial Industry Regulatory Authority (FINRA) announced today that it fined Fidelity Brokerage Services LLC $500,000 and ordered the firm to pay nearly $530,000 in restitution for failing to detect or prevent the theft of more than $1 million from nine of its customers, eight of whom were senior citizens.

/Legal

FCA fines Threadneedle Asset Management Limited £6m

The Financial Conduct Authority (FCA) has fined Threadneedle Asset Management Limited (TAML) £6,038,504 for failing to put in place adequate controls in the fixed income area of its front office, and for providing inaccurate information to the regulator and for failing to correct the inaccurate representation for four months.

/Legal

SFC reprimands and fines three JP Morgan entities a sum of HK$30 million for regulatory breaches

The Securities and Futures Commission (SFC) has reprimanded J.P. Morgan Broking (Hong Kong) Limited (JPMBHK), J.P. Morgan Securities (Asia Pacific) Limited (JPMSAP) and J.P. Morgan Securities (Far East) Limited (JPMSFE) (collectively “JP Morgan”), and fined them $15 million, $12 million and $3 million respectively for various regulatory breaches and/or internal control failings.

/Legal

Former secret service agent sentenced to 71 months in Silk Road investigation

A former Secret Service special agent who had been a member of the Baltimore Silk Road Task Force was sentenced to 71 months in prison today on charges of money laundering and obstruction of justice.

/Legal

Alleged senior Silk road advisor arrested

Manhattan U.S. Attorney announces arrest and unsealing of charges against senior adviser to the operator of the “Silk Road” Website. Roger Thomas Clark was a key figure in the development of Silk Road who helped Ross Ulbricht run the criminal enterprise.

/Legal

Cops make fifth TalkTalk hack arrest

A fifth person has been arrested in connection with the investigation into alleged data theft from TalkTalk.

/Legal

Police make fourth TalkTalk arrest

On the evening of Tuesday, 3 November, detectives from the Metropolitan Police Cyber Crime Unit (MPCCU) and officers from the National Crime Agency (NCA) executed a search warrant at an address in Norwich.

/Legal

Nafcu applauds award of class action status in Target lawsuit

National Association of Federal Credit Unions (NAFCU) Senior Vice President of Government Affairs and General Counsel Carrie Hunt issued the following statement in response to the certification of financial institutions’ lawsuit as a class against Target Corp. based on the retailer's huge data breach in 2013.

/Legal

RBC granted US mobile payment security-related patent

RBC today announced that it has been awarded a patent on its innovative Secure Cloud payment and security technology by the United States Patent Office. The patent covers use of secure tokens by our clients to facilitate payments from mobile devices.

/Legal

Euronext claims victory in TOM court case

Euronext welcomes the verdict by the District Court in the Hague, the Netherlands, in the proceedings on the merits against TOM and BinckBank, which upheld Euronext’s claim that TOM had breached its various intellectual property rights by trademark infringement, database infringement, breach of contract and publishing misleading information and activities for investors.

/Legal

BioCatch granted US patents

BioCatch, the global leader in Behavioral Biometrics, Authentication and Malware Detection, announced today that the US Patent Office granted the company two new patents that extend the Company’s ability to authenticate PC and mobile device-users through the application of behavioral biometrics.

/Legal

Inform seeks patent infringement protection

INFORM GmbH, a leading provider of software solutions in risk assessment and fraud prevention, has announced that it will reinforce the protection of its intellectual property in fuzzy logic technology.

/Legal

CounterpartyLink adds hierarchy view for complex client groups

CounterpartyLink (CPL), an independent provider of evidence-based legal entity intelligence for buy- and sell-side institutions and law enforcement agencies, today announced the introduction of CPL Hierarchy Profile, a new product designed to provide a 'single view of the client' across complex client groups.

/Legal

BNY Mellon fined £126 million for FCA over Cass compliance failings

BNY Mellon (NYSE: BK) today issued the following statement regarding the findings of a U.K. Financial Conduct Authority ("FCA") investigation into compliance with relevant FCA Principles and U.K. Client Asset Sourcebook ("CASS") rules during the period from November 2007 to August 2013:

/Legal

FCA fines Clydesdale £20 million for PPI complaints mishandling

The Financial Conduct Authority (FCA) has today fined Clydesdale Bank Plc (Clydesdale) £20,678,300 for serious failings in its Payment Protection Insurance (PPI) complaint handling processes between May 2011 and July 2013.

/Legal

Carder.su fraud ring member handed 150-month prison sentence

A member of the identity theft and credit card fraud ring known as “Carder.su” was sentenced today to 150 months in federal prison for selling stolen and counterfeit credit cards over the Internet.

/Legal

CFPB proposes new disclosure rules governing prepaid accounts

Today the Consumer Financial Protection Bureau (CFPB) is proposing strong, new federal consumer protections for the prepaid market.

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