Regulation

Like ICOs and similar crypto-related fundraisings, SPAC mania has entered the celebrity phase.

The latest amendments to the SEC’s whistleblower program came into effect in December 2020.

Making decisions based on primary-source data is an easy way to improve KYC compliance.

The country’s mega regulator joins a number of key adopters who have pledged to adhere to the code’s principles.

The law came into effect on January 11.

SEC awarded more than $100,000 to a whistleblower who provided independent analysis of publicly available material.

The regulatory authority fined LPL for failing to establish a supervisory system to meet compliance requirements.

The UK trade repository was formed in March 2019.

The Brexit deal turned out to be a poor one for the British financial services industry.

In addition to paying a fine of $2.5 million, Bloomberg units disgorged $663,000 in fees earned from Ontario-based investors.

Financial institutions will need to remain compliant after Brexit.

The move means that UK firms can qualify for time-limited relief from certain regulatory requirements.

The mass email scam appears to be from the source domain name '@invest-finra.org'.

Complacency can be dangerous, especially when it comes to compliance.

The bank accepted the censure and a fine of $75,000.

The authority imposed a penalty on Santander as the firm failed to capture 6 million emails due to a ...

Goldman would shift trading in shares of companies based in the bloc to its new Paris hub, SIGMA X ...

The FX options broker was found guilty of communicating misleading information to clients.

Regulators circle transaction reporting improvements - how brokers will need to liaise with LPs to report the same transaction ...

The tipster examined publicly available materials and then alerted the watchdog to refocus an ongoing investigation.

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