Regulator orders fines, disgorgement against portfolio manager, broker
Fed's revised endgame is weaker, but the changes are still good for banks' credit: Moody's
Shorter settlement cycle has succeeded in reducing risk, freeing up capital
Trade group calls for tech-neutral, principles-based approach to regulation
European regulators call for vigilance amid economic, geopolitical uncertainties
CAPSA replaces 2004 guideline, consolidates risk management guidance
Fund liquidity and credit quality risks loom amid uncertain outlook, says ESMA
Fund industry warns about risks to investors as portfolio reporting increases
Much of the industry's involvement may be outside the SRO's perimeter
U.K. firms failing to meet new investor protection standards, review finds