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Keyword: Enforcement

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"Landmark" legislation is significant step forward in protecting investors, organization says

Magnifying glass on documents

European regulators call for enforcement action on compliance failures

Technical glitch prevented comprehensive trade surveillance by JP Morgan

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

gavel on a laptop

Firm's controls failed to block massive trading goof

Exchange failed to immediately report VPN vulnerability exploit

Stealing money

Pair exploited inside knowledge of pension giant's trading plans

gavel on a laptop

U.S. charges foreign nationals for allegedly laundering proceeds of "pig butchering" schemes

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