Category Archives: Uncategorized

Wells Fargo for the last few months investigated a gender bias against senior female leaders in its wealth management unit. After interviewing dozens of women including internal town halls, the investigation was closed. Within asset and wealth management at large, … Continue reading →

The World Economic Forum just published a 175 page report on the future of jobs (a follow-up from the original 2016 report: Future of Jobs – Employment, Skills, and Workforce Strategy for the 4th Industrial Revolution). Turns out, the future … Continue reading →

Who says compliance is boring… combine compliance and regulatory issues with technology and software solutions and you get something noteworthy. At least according to private equity firm Warburg Pincus, who yesterday announced $100 million investment in Ottawa-based Assent Compliance, a … Continue reading →

Facebook announced that hackers had used a weakness in Facebook’s code regarding its “view as” feature this week to take over control of up to 50 million accounts. The hackers got access tokens to stay in accounts without re-entering a … Continue reading →

Natalie Baylis two months after joining Swiss alt asset manager GAM from the UK’s Financial Conduct Authority as Group Head of Compliance and member of GAM Holding AG’s Group Management Board to help with the aftermath of Tim Haywood’s suspension, … Continue reading →

Hackers in 2016 stole personal data for tens of millions of Uber users (and also drivers). Uber didn’t report the breach and decided to pay two hackers (one of them a 20-year old Floridian) $100K on HackerOne to stay quiet … Continue reading →

Neshie Tiwari is the chief compliance officer for Ellevest, the investment management company for women by women, co-founded by Sallie Krawcheck in partnership with Charlie Kroll. Ellevest was founded in 2016 as a digital financial advisory platform for women. According … Continue reading →

Since issuing its first award in 2012, the SEC has awarded more than $266 million to 55 individuals under the whistleblower program. In that time, almost $1.5 billion in monetary sanctions have been ordered against wrongdoers based on actionable information … Continue reading →

Dalia Blass, who last September was named the SEC’s head of investment management (David Blass, her husband, spoke at CSI NY last year about some of the industry developments), addressed the Standards of Conduct for Investment Professionals in NY this … Continue reading →

Russian hackers in late 2014 stole Yahoo’s “crown jewels”, hundreds of millions of usernames, emails, phone numbers, birthdays, passwords, and security questions. Last week, the company in its entirety agreed to pay $35 million in SEC fines for failing to … Continue reading →