Regulation

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.

Brokers now have to do issuers' due diligence before accepting any quotes.

The Australian agency issued the fine to the bank for failing to report international funds transfers.

The information from the tipster resulted in a successful enforcement action for the SEC.

The company and its NZ-based director, Michael Reps, have been found guilty of all criminal charges.

The deadline has been extended to the 30th of October 2020.

In keeping with its policy of carefully protecting tipsters’ identities, the watchdog provided scant details on the case.

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