Regulation

The funds from the fine will be distributed to affected clients.

The company and the regulator have reached a settlement agreement.

Wall Street’s watchdog found that the firm failed to avoid displaying, locking or crossing quotations in OTC Equity Securities.

The BIS Markets Committee also asked for the Code to be strengthened.

The bank is being investigated for spying on its own personnel.

The regulator says the “flying prices” and “printing trades” practices were a core part of TFS-ICAP's broking business.

In 2015, Citadel Securities saw one of its accounts, managed by a Shanghai-based futures firm, barred from trading shares

Although some progress was made in 2019, the regulator warned there is much to do by 2021 end date.

Credit Suisse is under fire for its alleged role in spying on its own executives.

The prime of prime broker secured the license from the SFC.

The acquisition completes the company’s series of purchases to ensure a smooth Brexit transition.

The New York Dept. of Financial Services has warned financial institutions of the increased risk of cyber attacks from ...

Chinese regulators said they would continue to approve foreign firms’ control of their joint ventures

FIMHK had also submitted incorrect information to the SFC when applying for a new fund authorization in 2017.

The new rules are similar to the approach already taken by other regulators within ‘best practices’ frameworks

Credit Suisse failed to address nearly 50,000 alerts from FINRA for potential manipulative trading over a 4 year period.

European investors were worried about being cut off from Britain’s financial markets in event of no-deal Brexit.

UBS was the first foreign brokerage approved by the securities regulator to upgrade its ownership in a local joint ...

Carlo Palombo and Colin Bermingham were sentenced over allegations they plotted with a cartel in the euro swaps markets.

This could lead to a so-called carriage dispute, with the law firms competing to represent the class of affected ...

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