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FCPA Blog Daily News

Entries in Deutsche Bank (23)

Monday
Jun192017

Job: KYC Client Onboarding Vice President

Job Title: KYC Client Onboarding Vice President

Employer: Deutsche Bank

Location: New York, NY

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Monday
Mar132017

Job: US Sanctions Compliance Reporting & Governance AVP (Deutsche Bank -- New York, NY)

Job Title: US Sanctions Compliance Reporting & Governance / Assistant Vice-President

Employer: Deutsche Bank

Location: New York, NY

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Monday
Jan092017

Deutsche Bank anti-financial crime chief quits after six months on the job

The head of Deutsche Bank AG’s financial-crime-fighting unit and chief AML reporting officer is leaving his job after just six months.

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Tuesday
Dec202016

FINRA fines Deutsche Bank Securities $3.25 million for deficient disclosures

Wall Street's independent regulator fined Deutsche Bank Securities Inc. $3.25 million Friday for failing to provide the same information to all users of its off-exchange trading system.

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Monday
Aug222016

Deutsche Bank charged after disaster recovery platform causes IT disaster

The Commodity Futures Trading Commission (CFTC) filed a civil complaint Thursday in federal district court in New York City charging Deutsche Bank AG with failing to report any swap data for multiple asset classes for five days in April when a software update went wrong and crashed the system.

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Monday
Aug082016

FINRA fines Deutsche Bank $12.5 million for faulty hoots and squawks

The Financial Industry Regulatory Authority (FINRA) Monday fined Deutsche Bank Securities Inc. $12.5 million for sending out internal alerts that might contain confidential information traders and their customers could use.

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Thursday
Jun022016

DOJ indicts two former Deutsche Bank traders for LIBOR fraud

Two former Deutsche Bank AG  traders -- the bank’s supervisor of the Pool Trading Desk in New York and a derivatives trader in London -- were indicted for their alleged roles in a scheme to manipulate the U.S. Dollar London InterBank Offered Rate, the DOJ said today.

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Monday
Mar072016

UK bans former Deutsche Bank trader for LIBOR fraud

The UK Financial Conduct Authority Wednesday banned a former trader at Deutsche Bank AG from the UK financial services industry for "lacking honesty and integrity" following his guilty plea for fraud in the United States.

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Wednesday
Nov042015

Deutsche Bank pays $258 million, fires six for U.S. sanctions offenses

Federal and New York authorities said Wednesday that Deutsche Bank will pay $258 million and fire six senior employees to resolve investigations into thousands of illegal transactions with customers in Iran, Libya, Syria, Myanmar, and Sudan.

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Wednesday
Apr222015

UK fines Merrill Lynch £13 million for 35 million compliance lapses

The UK Financial Conduct Authority on Wednesday fined Merrill Lynch International £13,285,900 ($19.8 million) for incorrectly reporting 35,034,810 transactions and failing to report another 121,387 transactions between November 2007 and November 2014.

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Friday
Mar132015

FinCEN: Andorra bankers took bribes to launder money for China, Russia, Venezuela criminals

The U.S. Treasury Department's Financial Crimes Enforcement Network said senior managers at Banca Privada d'Andorra took bribes for several years to help launder money for organized crime groups.

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Monday
Dec082014

Job: Compliance Officer - Anti-Bribery & Corruption Officer - AVP/VP (Deutsche Bank, NYC)

Job Title: Compliance Officer - Anti-Bribery & Corruption Officer - AVP/VP

Employer: Deutsche Bank

Location: New York, NY

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