Regulation

Toronto-based firm executed most of its trades through an affiliated investment dealer, Caldwell Securities.

Following the financial crisis, regulators called for tougher rules of non-centrally cleared securities finance transactions.

The upgraded authorization allows the firm to trade with its clients as principal without the matched limitation.

The Hong Kong regulator has recently made fighting against financial fraud its top enforcement priority.

Five traders at Nomura profited from improper markups and higher prices on mortgage bonds.

Andrew Bailey elaborated on the changes and challenges to the lending markets transition away from LIBOR

The regulator said that MiFID II has failed to have the desired effect when it comes to pricing

The operations of derivatives trading venues will be mutually facilitated by the CFTC and JFSA

The broker-dealer put two systems in place that both failed to properly report transactions to the FNTRF

The European Commission was appealing a similar decision made against it in 2017

Investors tried to convince the New York judge to reinclude RBS and SocGen in the suit.

The association has recommended that transaction-level reporting no longer be applicable for ETDs.

The case included Christian Bittar, a former star trader at Deutsche who has already been convicted alongside Barclays traders.

The investment company claims Lloyds sold its property portfolio for far less than it was worth

The ex-Goldman Sachs banker is facing over ten years in prison for his role in the 1MDB scandal

Job cuts could hit one out of every six full-time positions globally and may extend into 2020.

State Street also faced investigations by Massachusetts attorney general office related to the invoicing errors

Prosecutors filed complaints describing the plot, quoting conversations MLCI staff had via online chat with other traders.

Bernard Mourad made the investment bank $50 million in fees over the course of four months

GlobalLink operates a suite of e-trading platforms, technology, data and workflow solutions under the umbrella of State Street.

Viewing 1 - 20 of 1032

1 2 3 … 52 >