Regulation

This is a part of the company’s post-Brexit strategy.

Societe Generale Securities Australia pleaded guilty to four separate counts of client money offences.

Regulation SHO requires firms to deliver the shares, after completion of a short sale transaction, on the settlement date.

The new rules ease bans on specific types of bank trading put in place after the 2007-2009 financial crisis.

Finra and SEC faulted SG Americas Securities for providing deficient blue sheet submissions.

The consultation paper aimed to refine the scope of regulatory activities under the regime.

The company can serve as the designated CAT reporting agent for its clients.

The reward is the largest ever awarded by the SEC and easily surpasses the previous record of $39 million ...

The investment bank agreed to pay the fine to resolve allegations that it excessively charged over 13,000 mutual fund ...

CME will close Abide Financial and NEX Regulatory Reporting, as well as the Repositories by November 30, 2020.

ASIC has also revoked its directions to limit the number of trades executed each day.

Because of this whistleblower’s actions, harmed investors were able to recover millions of dollars in losses, says the SEC.

The partners have built a “RegBot” utilising natural language processing and machine learning to identify risk gaps

The ACI Dealing Certificate exam is a highly relevant qualification recognised by international regulators

The regulator wants firms to focus their efforts on dealing with the coronavirus pandemic.

The Swiss bank will hike its stake to 51% from 33.3% via a capital injection into its Chinese securities ...

The updated guidelines follow on from ASIC’s review of internal market-making in H2 of 2019.

The firm commits to supporting the development of the Japanese and Chinese capital markets

People’s Bank of China held about 17.5 million shares in HDFC at the end of March 2020

SGX will suspend entry onto its Financial Watch-List.

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