Regulation

The CBA has to pay $15 million to the community, and $5 million to the Australian regulator.

The new service will be of particular use to hedge funds and asset managers that haven't built adequate compliance ...

Prosecutors have cleared two officials of the blunder and dropped charges against nine employees.

From next Monday, the regulator will begin to perform public record reviews of potential financial advisors.

The bank has been charged with obtaining business in Asia by hiring people connected to influential Chinese officials.

The Hong Kong regulator has launched a consultation paper and gives market participants until August to reply.

If the proposals are put into law, firms' risk management systems will have to change significantly

DTCC’s GTR service now supports regulatory reporting across borders for all five major OTC derivatives asset classes

MSSB employe Barry Connell conducted 110 unauthorized transactions that allowed him to misappropriate approximately $7 million

Bonthu isn't the only Equifax executive to have made suspiciously timed trades.

An independent expert found that NAB’s response to an initial court order had significant deficiencies in multiple areas.

The British regulator will be responsible for amending and maintaining the EU's binding technical standards

Johnson was sentenced to two years in prison in April for devising a scheme to manipulate the price of ...

Legal entity identifiers will not become mandatory but their use will expand

McLellan was one of four State Street’s executives who devised a scheme to overcharge clients without their consent.

The EU’s top banking regulator strikes a much harsher tone than other UK supervisors

The move was taken due to failure to adhere to membership rules, including non-payment of dues.

The fiasco occurred earlier in April, in which an employee by mistake typed in 1,000 shares instead of 1,000 ...

The US authorities opened its FX probe of Deutsche in 2014, focusing on conduct using their electronic trading platforms.

The Hong Kong regulator issued a consultation paper today and will give respondents two months to reply

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