Regulation

The regulator has charged UBS with circumventing the priority given to retail investors in the bond offerings.

BNY Mellon Saudi Financial Company has been authorised to conduct Custody activities in the securities business.

FINRA accused the company of trading ahead of certain inactive OTC customer orders.

IIG engaged in a pyramid scheme by overvaluing troubled loans and replacing defaulted loans with fake performing loan assets.

Financial crimes benefiting from COVID-19 fears skyrocketed in recent months.

These problems involved nearly 869 inaccurate blue sheets on at least 156,678 options transactions.

The central bank of the country also recently banned three banks from trading lira.

The regulator has completed its investigation into market manipulation between Commerzbank & CPB.

This is a part of the company’s post-Brexit strategy.

Societe Generale Securities Australia pleaded guilty to four separate counts of client money offences.

Regulation SHO requires firms to deliver the shares, after completion of a short sale transaction, on the settlement date.

The new rules ease bans on specific types of bank trading put in place after the 2007-2009 financial crisis.

Finra and SEC faulted SG Americas Securities for providing deficient blue sheet submissions.

The consultation paper aimed to refine the scope of regulatory activities under the regime.

The company can serve as the designated CAT reporting agent for its clients.

The reward is the largest ever awarded by the SEC and easily surpasses the previous record of $39 million ...

The investment bank agreed to pay the fine to resolve allegations that it excessively charged over 13,000 mutual fund ...

CME will close Abide Financial and NEX Regulatory Reporting, as well as the Repositories by November 30, 2020.

ASIC has also revoked its directions to limit the number of trades executed each day.

Because of this whistleblower’s actions, harmed investors were able to recover millions of dollars in losses, says the SEC.

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