Regulation

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 ...

The agency issued the infringement notice to the company for failing to report international funds transfers.

Writing to Steven Maijoor, the trade association said a CTP would have arisen naturally if it made commercial sense

The OCC was charged with not having appropriate risk management procedures in place.

The investors believe the banks manipulated either the price for bids, offers, or spreads for currency spot trades.

FX traders at both banks shared trade sizes, timing, price, stop-loss levels in chatrooms

UBS was the first foreign bank approved by the securities regulator to upgrade its ownership to a controlling stake.

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