Regulation

The SEC action centered on spoofing activity carried out by Nicholas Mejia Scrivener, a Florida resident.

The licence cancellation became effective as of the 20th of July 2020.

Prakash has been ordered to not reapply for membership for seven years.

What's a suitable solution for the enhanced enforcement deadline of December?

The implications of the recent CJEU Ireland fine.

The CFTC approved a final rule on capital requirements for swap dealers and major swap participants.

Merrill Lynch did not have adequate systems and controls in place to detect and prevent the violations.

n-Tier’s platform gives Cowen comprehensive validation of its reporting data.

The regulator has charged UBS with circumventing the priority given to retail investors in the bond offerings.

BNY Mellon Saudi Financial Company has been authorised to conduct Custody activities in the securities business.

FINRA accused the company of trading ahead of certain inactive OTC customer orders.

IIG engaged in a pyramid scheme by overvaluing troubled loans and replacing defaulted loans with fake performing loan assets.

Financial crimes benefiting from COVID-19 fears skyrocketed in recent months.

These problems involved nearly 869 inaccurate blue sheets on at least 156,678 options transactions.

The central bank of the country also recently banned three banks from trading lira.

The regulator has completed its investigation into market manipulation between Commerzbank & CPB.

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.

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