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SEC Chair Gary Gensler: "Finance, time and again, also has seen regulatory gaps lead to fires. Such gaps can occur when financial regulations don’t treat like activities alike. Market participants may then arbitrage such differences here in the United.."

"Finance, time and again, also has seen regulatory gaps lead to fires. Such gaps can occur when financial regulations don’t treat like activities alike. Market participants may then arbitrage such differences here in the United States and between countries." “Lessons from Mrs. O’Leary’s Cow:” Remarks

CFTC Alert! CFTC Orders HSBC to Pay a $30 Million Penalty for Recordkeeping and Supervision Failures for Widespread Use of Unapproved Communication Methods.

HSBC admitted their employees often communicated “off-channel” about securities business matters on their personal devices, using WhatsApp. Source: https://www.cftc.gov/PressRoom/PressReleases/8701-23 The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against HSBC Bank USA, N.A., a provisionally registered swap dealer,

CFTC Orders HSBC Bank USA, N.A. to Pay a $45 Million Penalty for Manipulative and Deceptive Trading in Connection with Swaps Related to Bond Issuances, Spoofing, and Supervision and Mobile Device Recordkeeping Failures

Source: https://www.cftc.gov/PressRoom/PressReleases/8702-23 The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against HSBC Bank USA, N.A. (HSBC), a provisionally registered swap dealer. The order charges HSBC with manipulative and deceptive trading related to swaps with bond issuers, spoofing,

Remarks by Under Secretary for Domestic Finance Nellie Liang: "more recently, in the days immediately following the bank failures, substantial margin calls from clearinghouses to highly leveraged hedge funds...

Remarks by Under Secretary for Domestic Finance Nellie Liang: "more recently, in the days immediately following the bank failures, substantial margin calls from clearinghouses to highly leveraged hedge funds appears to have added to Treasury market volatility." https://home.treasury.gov/news/press-releases/jy1474 Highlights: * Excessive leverage can

SEC Alert! SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures.

The firms admitted that their employees often communicated “off-channel” about securities business matters on their personal devices, using messaging platforms, such as WhatsApp. Release: The Securities and Exchange Commission today charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread and longstanding failures by both firms and their

Companies hide negative news by issuing unrelated press releases alongside SEC filings, study shows.

It found that, alongside 8-K reports featuring negative news, managers tend to push out simpler, unrelated press releases to divert attention from the harder-to-read regulatory filings. Source: https://news.nd.edu/news/companies-hide-negative-news-by-issuing-unrelated-press-releases-alongside-sec-filings-study-shows/ To distract investors from bad news, companies strategically issue unrelated press releases on the same day they

Federal Reserve Alert! Financial Stability Report for assessing the resilience of the U.S. financial system:

"The share of newly issued loans to large corporations with debt multiples greater than 5 remained at a historically high level in 2022, indicating stable tolerance for additional leverage." https://www.federalreserve.gov/publications/files/financial-stability-report-20230508.pdf The framework focuses primarily on assessing vulnerabilities, with an emphasis on