Regulation

The initiative follows on the heels of a series of high-profile misconduct ‎cases that ‎came to light in recent years.

New rules introduced to improve security and integrity of organization

This brings the whistleblower program’s total endowment to approximately ‎‎$266 million.

First major UK buy-side asset management firm to sign up to ACI FMA’s E-Learning, Attestation and Certification (ELAC) Portal

The role of whistleblowers has been instrumental to several investigations

The final settlement is lower than the $5 billion that the DOJ asked Barclays to pay earlier in negotiations.

The indictment accuses the trio with conspiring to restrain trade from ‎the end of 2007 through the beginning of ...

The SFC has responded to UBS’ failures to record transactions and client consents regarding its facilitation trading activities.

The MAS has penalized Standard Chartered Bank and Standard Chartered Trust, $3.95 million and $0.91 million, respectively.

Jun Ying ‎exercised all of his vested stock options and then sold the shares, reaping ‎proceeds of ‎nearly $1 ...

The collaboration intends to induce strong capabilities for prime brokerage, securities finance and collateral management.

Former interest rate derivatives trader at Deutsche, Guillaume Adolph, has been fined £180,000 and banned by the FCA. ...

Cryp Trade has been targeting British Columbia residents through advertisements, despite not being licensed by the BCSC.

He was arrested while visiting his girlfriend in New Jersey.

While the majority of firms complied in the most areas, there are still some aspects that need to be ...

The Zurich-based bank is accused of unlawfully conducting $1 billion in write-downs.

The bank's self reporting measures and cooperation with the SFC helped avert an even larger fine.

The groups will jointly work to advise clients on the data requirements for securities finance transactions.

The German investment bank reportedly intentionally attempted to alter benchmark levels to benefit its personal positions.

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