Regulation

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

Motivated to conceal the estimated trading losses from Morgan Stanley, the scope of the probe includes FX options.

All in, the CFTC brought 69 enforcement-related actions, slightly higher from 67 in 2018.

The settlement comes barely a month after two units of BGC paid $25 million to settle charges related to ...

Akshay Aiyer was a former Executive Director at JPMorgan.

UK-based clearinghouses are expected to receive an extension of an extra year to prepare for a no-deal Brexit/

The investment management firm will use Catena’s solution to report OTC derivatives.

LSE needs to secure more approvals as regulators will scrutinize the takeover and its potential impact on market data ...

Scott + Scott, which led the litigation that generated $2.3 billion in US, is representing the investors in the ...

Although BNP transacted over 70,000 wire transfers worth $233 billion, it relied on only one investigator to review AML ...

OTF approval ensures compliance with MiFID II regulations and provides a choice of execution protocols.

The regulator found that Tullett Prebon’s Rates Division had “ineffective controls around broker conduct”.

Seeking $112 million, Ramchandani is the latest FX trader to sue Citi in the aftermath of the market-manipulation scandal.

Altogether, the fines equal more than $6 million.

The firm violated Regulation SCI which applies to entities that affect “the efficient functioning of the US Securities markets. ...

The broker-dealer was accused of material misstatements regarding customer anonymity.

CFTC doesn’t provide any details of the enforcement case that came out of the whistleblower tip.

Bafin VP Elisabeth Roegele warned that companies need to be prepared “for all possible situations.”

Staff allegedly helped facilitate the scheme and lied to authorities about their ability to detect suspicious behavior

European investors were worried about being cut off from UK financial markets as other financial hubs are smaller in ...

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