Compliance review uncovered weaknesses in firm's anti-money laundering processes
Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets
Firms misled investors about risk of funds' trading strategy, regulators alleged
More than US$40M raised from investors on false promise of automated trading returns
Decline in syndicated lending leads retreat in bankers' fees
Regulator to adopt rules that set out how workplace misconduct breaches rules
Trio of traders engaged in spoofing in government bond markets, regulator alleged
Stronger than expected revenues enables SRO to return US$50 million to brokers
As of July 1, regulator can serve investigative summonses electronically
On their own, changes are "neutral", but could be "negative" alongside other efforts to relax banks' capital demands, Fitch Ratings says