Regulation

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.

The latest no-action relief permits SEFs to execute block trades on SEF’s trading systems and platforms until relief expires.

The authority fined CitiGroup for failing to disclose potential conflict of interest related to equity research reports.

The regulator has become strict with its licensing requirements and is asking applicants about how to deal with the ...

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