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Keyword: Compliance

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Stormy waters

Regulator consults on revisions to boost intra-day liquidity insight

Magnifying glass on documents

European regulators call for enforcement action on compliance failures

Bank's treatment of customers in financial difficulty sparks sanction from U.K. regulator

Euro map

European regulators make recommendations for revitalizing capital markets

Exchange failed to immediately report VPN vulnerability exploit

Blue spikes

Changes will raise demands on firms to warn investors about breaches

U.K. regulators allege an unregistered FX trading scheme was touted on Instagram

Greenwashing and isolated green warning sign against white background stock illustration

Regulators issue advice to fund managers on ESG terms in fund names

States failed to establish standing to oppose the rule

Firm sanctioned over reporting, registration failures