Regulation

The regulator plans to do this by helping firms strengthen their internal controls.

The Swiss firm was able to get a 30 percent reduction on the fine by agreeing to resolve the ...

Lawyers at Grant & Eisenhofer say leadership at the Danish firm deliberately covered up money laundering activity

The Bank of Italy ordered the Dutch firm to stop taking on new clients over the weekend

BOCI Securities breached a number of regulations related to the sale of investment products

Satoshi Ikeda, who has led prior ESG projects for the regulator and the G20, will take up the new ...

Standard Chartered was also fined, as both companies failed to meet compliance standards surround IPO sponsorship

The transaction is expected to close in April this year.

After MPs rejected a deal with the EU, the pan-European regulator envisages minimal problems in the OTC and derivatives ...

CME isn’t alone in planning for the worst. Almost every sizable trading venue have chosen a new post-Brexit base

Finra also said Cantor repeatedly ignored “red flags,” including internal audit findings from its staff.

Eligible whistleblowers are entitled to between 10 and 30 percent of the money that the CFTC recovers from those ...

Euroclear UK and Ireland Limited will continue operating in the EU in the event of a no-deal Brexit.

Between July 2017 until June 2018, the success rate for applications of AFS licenses was 44 per cent.

This is the first time the Canadian regulator has paid whistleblowers for their help

The Hong Kong regulator says that Wu Yinong failed to meet compliance standards relating to a 2009 IPO

Legislators in Brussels say some investment firms constitute a risk akin to that posed by banks

With the Dutch regulator’s approval, the company will be able to operate a Multilateral Trading Facility in the EU.

The Hong Kong regulator also issued fines totalling $290,000

The Swiss investment bank rejected a prior settlement offer from French authorities

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