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Keyword: Compliance

729 results found
Class action

Liquidnet sanctioned by SEC

ATS operator settles allegations of compliance shortcomings

rules and regulations

CIRO floats short-selling reforms

SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime

stock market data

Broker fined for unauthorized access violations

Marex Capital Markets sanctioned in settlement with MX

consultation discussion

Closing the gap between mutual, seg fund regulation

CCIR, CISRO propose new guidance on the design, distribution of seg funds

fraud

Tribunal sets sanctions in record crypto fraud

Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

U.S. trade reporting violations spark sanctions

Trio of firms sanctioned for regulatory reporting issues

A creative woman asking a question at the office

CIRO seeks feedback on proposed CE harmonization

SRO sets out common requirements, contemplates shift to annual CE cycle

Illustration of a businessperson using a magnifying glass to examine files

FCA sets out to redesign U.K. retail investment disclosure

Regulators seek more useful, flexible product disclosures

Board room discussion

FSB tackles shadow bank leverage

Report sets out recommendations for addressing risks posed by leverage build ups

Businessman holding tablet with graphs

To boost research coverage, let issuers pay

ESMA consults on code of conduct to encourage issuer-sponsored research