Regulation

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.

The MoU aims to strengthen collaboration between the two entities in order to combat illegal activity.

The probes focused on the prerelease of ADRs, which banks issued without first having the underlying shares in their ...

Responding to regulatory change, the software provider will automatically report futures trades to financial authorities

Regulators are hoping to bring offshore trading in the rupee back to India

Barclays, UBS, and JP Morgan were all named in the suit

Flaum, 41, agreed to meet with investigators and has been cooperating against unnamed co-conspirators.

Toronto-based firm executed most of its trades through an affiliated investment dealer, Caldwell Securities.

Following the financial crisis, regulators called for tougher rules of non-centrally cleared securities finance transactions.

The upgraded authorization allows the firm to trade with its clients as principal without the matched limitation.

The Hong Kong regulator has recently made fighting against financial fraud its top enforcement priority.

Five traders at Nomura profited from improper markups and higher prices on mortgage bonds.

Andrew Bailey elaborated on the changes and challenges to the lending markets transition away from LIBOR

The regulator said that MiFID II has failed to have the desired effect when it comes to pricing

The operations of derivatives trading venues will be mutually facilitated by the CFTC and JFSA

The broker-dealer put two systems in place that both failed to properly report transactions to the FNTRF

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