Regulation

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 ...

The bank was held accountable for breaches in preventing electronic trading anomalies.

ESMA’s main objective will continue to be the enhancement of the quality of data reported to trade repositories under ...

The commission has awarded around $719 million to 112 individuals since 2012.

Though companies are prepared for Brexit, other major market events have affected the companies.

This is the largest civil penalty faced by anyone in Australia.

During CFTC’s 2020 fiscal year, which ended September 30, the agency’s staff handled a record 113 enforcement actions.

This came as a replacement for the services of CME and Abide.

The commission has granted compensation to a total of 102 whistleblowers yet.

Given the extent of the failures, the CFTC requested the appointment of an outside consultant to ensure compliance.

Former broker David Moore has been banned from providing financial services for 10 years.

The company outsider reported significant information about ongoing securities law violations.

James Vorley and Cedric Chanu were convicted of 3 counts and 7 counts, respectively, of wire fraud.

If approved by the Federal Court of Australia, it will be the largest civil penalty in Australian history.

In order to boost its financial performance, the French bank is looking to sell Lyxor.

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